Free Practice Exam 2

Option (B) is correct because an evidence-based approach requires objective, verifiable records to support the existence and implementation of a control. While policy documents indicate intent, logs or records demonstrate that the procedures are being applied in practice. Option (A) is incorrect as policy documents alone do not provide evidence of actual implementation. Option (C) is inappropriate because sample logs would be fabricated and not reflect real-world implementation. Option (D) is premature without giving the auditee a chance to provide the required evidence.

The correct answer is B. The appropriate course of action is to mention the incomplete audit objective (B), explain the reasons for the gap, and include it as a point in the audit report. The closing meeting serves to provide full transparency, and any unresolved issues should be documented and addressed. Option (A) is incorrect because excluding key information compromises the integrity of the audit. Option (C) is not feasible, as extending the audit would disrupt the process and may not be necessary depending on the nature of the objective. Option (D) is incorrect because the meeting should proceed with the issues addressed in the report.

Correct Answer B. According to ISO 19011, an audit plan should reflect the current structure and associated risks of the organization. Option (B) is correct as the lead auditor should recommend that the internal audit team revise the plan to cover the new risks before proceeding with the audit, ensuring it aligns with ISO 19011’s guidance on maintaining a flexible audit plan that accounts for changing contexts. Option (A) is incorrect because it would undermine the effectiveness of the audit by ignoring relevant risks. Option (C) is too drastic, as suspending the audit should be a last resort, typically when there is a serious issue impacting audit feasibility. Option (D) violates ISO 19011’s principle of independence, as the auditor should not modify or take control of the internal audit program independently.

The correct answer is B. An auditor should demonstrate objectivity and rely on evidence when presenting findings. (B) is correct because referencing the standard and presenting evidence helps support the finding while maintaining a professional demeanor. (A) may be necessary later, but the auditor should first attempt to resolve the disagreement. (C) is an overreaction that disrupts the audit process. (D) compromises the integrity of the audit and should never be considered a professional response.

Option A is correct because ISO/IEC 27001 requires a balanced approach to risk analysis that considers both the impact and likelihood of potential incidents. Only focusing on financial impact without assessing probability results in an incomplete risk prioritization process. Option B, Control Implementation, comes after risk analysis and does not address the prioritization issue. Option C, Risk Register, is a tool for documenting risks, but the fundamental issue is the lack of a complete analysis. Option D, Asset Valuation, refers to determining the value of assets, which is only one component of risk assessment and does not address the omission of probability.

The correct answer is B. Misalignment of access permissions can lead to unauthorized access, compromising the confidentiality and integrity of sensitive information. (A) would be too severe unless there was evidence of actual data breaches or misuse. (B) is correct because it addresses the issue and ensures compliance with the organization’s policy while considering the severity of the nonconformity. (C) is unnecessary as the risk is already known, and (D) is not a proportionate response unless there is an immediate risk to the audit’s integrity.

The correct answer is B. The lead auditor should provide clear, evidence-based explanations (B) and ensure that the findings are grounded in ISO/IEC 27001 requirements. It is also important to allow management the opportunity to express their concerns, but the nonconformity should remain unless disproven with evidence. Option (A) is incorrect as it can create unnecessary conflict and may not foster a constructive discussion. Option (C) is incorrect because removing a valid nonconformity undermines the integrity of the audit. Option (D) is incorrect because adjusting the audit report without valid justification compromises the credibility of the audit process.

The correct answer is A because, according to ISO/IEC 27001, every exclusion of Annex A controls must be justified in the SoA, and a Stage 1 audit is the appropriate time to review such gaps. Option B is incorrect because the recommendation should focus on justification, not immediate inclusion. Option C is wrong because exclusions without justification are non-compliant, even if deemed irrelevant by the organization. Option D is incorrect as the Stage 1 audit’s purpose is not to issue non-conformities but to assess readiness and recommend improvements.

Option (C) is correct because the evidence-based approach requires documented and verifiable records. In the context of shared accounts, individual accountability can only be demonstrated through detailed logs showing who accessed the account and when. Option (A) is incorrect as verbal agreements cannot be verified. Option (B) is insufficient as a written policy alone does not provide evidence of implementation. Option (D) is premature because there may be existing logs that satisfy the requirement for accountability, even if a shared account is used.

The correct answer is A. Measuring the effectiveness of an audit program is a key component of quality management. (A) is correct because feedback helps identify gaps and areas for improvement in the audit process, ensuring continuous quality enhancement. (B) is not a valid solution because increasing audit frequency does not necessarily improve quality. (C) is incorrect as it focuses on compliance rather than quality improvement. (D) might improve procedural compliance but does not address the broader need for evaluating the effectiveness of the overall audit program.

The correct answer is A because the organization is already aware of the issue and plans to address it. This is a good opportunity to issue an observation, advising the organization to maintain an accurate and complete asset inventory. Option B is incorrect because the issue does not pose a significant risk yet. Option C is incorrect because there is no need for a nonconformity if the issue is being addressed. Option D is incorrect because the auditor should still report the issue to ensure it is followed up on.

The correct answer is A because using effective communication practices involves defusing tension by clarifying the audit’s purpose and creating an environment where the interviewee feels comfortable. Emphasizing that the audit is not intended to create pressure helps to build trust and ensures a more productive dialogue. Option B is incorrect because coercive tactics can damage the audit’s objectivity and create further resistance. Option C is incorrect because it avoids addressing the issue and may be perceived as dismissive. Option D is incorrect because immediately escalating without attempting to resolve the issue through communication can disrupt the audit and erode trust.

The correct answer is C. The lead auditor should review the new systems for compliance with ISO/IEC 27001 and document the findings in the surveillance audit report. The recommendation would be to adjust the certification scope to reflect these new systems, ensuring that the certification remains relevant and accurate. Option A is incorrect because termination and recertification are only necessary in more serious cases of noncompliance or when the changes are significant enough to affect the entire ISMS. Option B is not practical during a surveillance audit, as it does not typically involve issuing a new certification. Option D is incorrect because the new systems impact the organization’s ISMS, and ignoring them could lead to security vulnerabilities.

Option (B) is correct because the principle of integrity requires auditors to report findings accurately and without bias, regardless of their impact on the final certification. Minor non-conformities should still be documented to maintain the credibility of the audit process. Option (A) is incorrect because it compromises the audit’s integrity. Option (C) is misleading as an observation does not carry the same weight as a non-conformity, which must be formally addressed. Option (D) is unnecessary unless the junior auditor repeatedly violates the principle, in which case internal team discussions would be more appropriate before escalating.

(A) is incorrect because ISO/IEC 27001 requires that all findings be based on objective and verifiable evidence, not subjective opinions. (B) is correct because the quality review process must ensure that every finding is backed by objective evidence to maintain the credibility and reliability of the audit. (C) is incorrect because approving findings without supporting evidence undermines the quality review. (D) is incorrect because revising findings is not the lead auditor’s role; the responsibility lies with the original auditor to substantiate or revise their work.

Option C is correct because when a nonconformity is disputed, the appropriate course of action for the audit team member is to document the observation and inform the team leader once they are available. This maintains the audit’s integrity and ensures that no premature conclusions are drawn without team leader oversight. Option A is incorrect as halting the audit would disrupt the process unnecessarily. Option B is not ideal because team members should not resolve disputes independently, especially for significant findings. Option D is incorrect because involving senior management prematurely could escalate the issue unnecessarily.

Correct Answer A. The clause being violated is Clause 4.3 (A), which addresses determining the scope of the ISMS. This clause requires the organization to consider all processes, departments, and business units that could impact information security when defining the ISMS scope. Excluding critical units like finance and HR means the ISMS scope is incomplete, potentially exposing sensitive information to unmitigated risks. Option B (Clause 7.4) addresses communication but is not relevant to scope definition. Option C (Clause 5.3) focuses on roles and responsibilities, which is not the issue here. Option D (Clause 8.1) relates to operational controls, which are applied after the scope is defined.

Correct Answer C. The lead auditor should emphasize the importance of having a process-based approach (C). ISO/IEC 27001 requires more than just policies; it mandates that organizations establish, implement, operate, monitor, review, maintain, and improve processes. The lack of a documented risk evaluation and treatment process indicates a gap in meeting these requirements. Option A (integration with BCP) is incorrect as it addresses a broader context not specific to risk evaluation. Option B (alignment with strategic objectives) is necessary but not a substitute for a defined process. Option D (technical controls) is unrelated to the process-based approach requirement.

Option B is correct because ISO/IEC 27001 requires that security requirements and responsibilities be clearly defined and agreed upon with third-party providers to ensure compliance and mitigate risks. Without an SLA, the organization lacks formal agreements on availability, data security, and incident management, making it difficult to enforce security policies. Option A may be a concern, but it is secondary to establishing clear roles and responsibilities. Option C is incorrect because the lack of an SLA does not inherently affect physical security. Option D is unrelated as it addresses operational controls, not third-party risk management.

Correct Answer C. The lead auditor should discuss the importance of including the finance department (C) with senior management, as excluding it could compromise the audit’s ability to meet the criteria of verifying compliance with data protection regulations. Adjusting the scope to exclude a critical area would undermine the audit’s effectiveness. (A) is incorrect as it would result in an incomplete audit. (B) might address part of the issue but still risks missing critical controls. (D) is inappropriate because adjusting the criteria to match a limited scope is not a solution to scope reduction in this context.

The correct answer is A because reviewing the vendor risk assessment process is critical to ensure that the organization has evaluated the security posture of new vendors and that their controls are aligned with the organization’s ISMS. This approach ensures comprehensive coverage of third-party risks. Option B is incorrect because new vendors can introduce risks that must be assessed. Option C is incorrect because the organization is responsible for ensuring vendor compliance, not relying solely on independent audits. Option D is incorrect because reviewing contracts alone does not provide sufficient assurance that vendor security controls are effectively managed.

The correct answer is B. When conducting a combined audit, the document control process can be assessed once, provided it meets the requirements of both ISO/IEC 27001 and ISO 14001. This ensures efficiency and consistency across systems. A is incorrect because assessing the same process twice is redundant. C is incorrect because the auditor must ensure both standards are adequately covered. D is incorrect as separate systems are unnecessary and would create additional complexity for the organization.

(A) is incorrect because stopping the interview abruptly could create tension and prevent effective evidence collection. (B) is incorrect because repeating the same questions can frustrate the interviewee and damage rapport. (C) is correct because acknowledging the uncertainty and rephrasing the questions demonstrates effective communication skills, which can help the auditor obtain more accurate information or identify a more appropriate source. (D) is incorrect because non-conformances should not be reported until all potential evidence has been thoroughly evaluated.

(A) is incorrect because threatening non-conformance at the opening meeting may create tension and resistance. (B) is incorrect because providing a summary without detailed findings could limit the auditor’s ability to verify compliance. (C) is correct because reviewing internal audit results is a requirement to evaluate the effectiveness of the ISMS, and confidentiality assurance can alleviate the CEO’s concerns. (D) is incorrect because omitting internal audit results could lead to an incomplete assessment of the ISMS.

The correct answer is B because the Information Security Manager is typically responsible for disseminating the report to relevant departments based on the distribution list. Referring the department head to the ISM ensures that the process remains structured and compliant with the initial distribution plan. Option A is incorrect because bypassing the established distribution list can undermine audit confidentiality and reporting protocols. Option C is incorrect because modifying the distribution list without formal approval could lead to scope creep and potential conflicts. Option D is overly rigid and does not address the legitimate need for the department head to access relevant findings.

Correct Answer A. When assessing materiality, it is crucial to consider the potential impact and likelihood of a control deficiency being exploited, even if no harm has occurred yet (A). In this scenario, the system does not contain sensitive information, but improper access rights could still pose a risk if the environment changes. The absence of incidents (B) is not sufficient to deem a deficiency immaterial, as materiality focuses on risk impact and probability. The classification of the system (C) is a consideration but not the primary determinant of materiality. Frequency (D) is a factor but only influences materiality when combined with potential impact.

Correct Answer B. The audit team member’s primary responsibility is to ensure that all significant findings are accurately reported, regardless of external pressures (B). Compliance issues that could result in severe penalties must be documented and communicated, as failing to report them would undermine the audit’s integrity. (A) is incorrect because the team leader’s authority does not extend to suppressing significant findings. (C) would be appropriate if the issue persisted, but the immediate responsibility is accurate reporting. (D) is incorrect as it risks omitting critical information due to time constraints.

(A) is incorrect because a summary report alone does not provide enough information to objectively assess the effectiveness of the BCP testing. (B) is correct because requesting detailed test scenarios and results allows the auditor to evaluate whether the testing was comprehensive and aligned with the objectives of the BCP. Without this evidence, the auditor cannot confirm that the BCP is effective and continuously improved. (C) is incorrect because staff interviews cannot substitute for missing documented evidence of the test results. (D) is incorrect because focusing on the current BCP without reviewing past test effectiveness would not provide a complete picture of the organization’s preparedness.

Option D is correct because the auditor must document the non-conformity as it relates to the SoA, but they should also recommend that management conduct a formal risk assessment to either justify removing the control from the SoA or properly implement it. This approach ensures that the ISMS remains aligned with actual risk management practices. Option A is incorrect because it downplays the issue without ensuring that the SoA accurately reflects the organization’s risk profile. Option B is incorrect because the missing control may not constitute a major issue if the risk is truly low and managed by other policies. Option C is incorrect because excluding the finding would undermine the auditor’s objectivity and responsibility to ensure the SoA is accurate.

Option C is correct because retaining active accounts for former employees violates the principle of least privilege and could lead to unauthorized access, which is a serious breach under most data protection regulations. Even though there is no evidence of misuse, the nonconformity is major due to its potential for causing legal violations and security breaches. Option A is incorrect because downplaying the issue ignores the legal risks associated with noncompliance. Option B is inadequate because the severity and potential legal consequences justify a major nonconformity. Option D is wrong as suggesting mitigation without documenting the issue in the report compromises the auditor’s responsibility to accurately report findings.

Option A is correct because the lack of a review mechanism for emergency access indicates a minor process gap that should be addressed through a controlled review and justification process. Implementing this would help the organization minimize risks associated with overprivileged accounts. Option B is not appropriate as a major nonconformity is only warranted if the risk posed is immediate and critical, which is not evident in this case. Option C is incorrect as it overlooks the importance of maintaining least privilege, a core principle of access control. Option D fails to address the nonconformity, which is necessary given the discrepancy between practice and policy.

Correct Answer A. The missing element is a risk impact evaluation (A). ISO/IEC 27001 requires that risk assessments consider not only the probability of occurrence but also the impact on business operations. This ensures a comprehensive understanding of risks that could disrupt business objectives. Option B (risk categorization) is useful for structuring risks but doesn’t address the missing impact evaluation. Option C (threat modeling) is more suited for identifying threats rather than assessing impact. Option D (quantitative assessment) might add precision but does not resolve the issue if the impact dimension is not considered at all.

The correct answer is A because ISO/IEC 27001 mandates that the risk treatment plan clearly specifies responsibility for each control to ensure accountability and effective implementation. Assigning a single owner for each control is essential to avoid ambiguity and ensure that controls are properly managed and monitored. Option B is incorrect because shared responsibility without clear documentation can lead to confusion and lack of accountability. Option C is incorrect because halting the audit is not appropriate for this issue; it should be addressed through recommendations. Option D is incorrect as listing multiple team members without defining a primary owner does not resolve the accountability issue.

The correct answer is A because contracts are considered records in ISO/IEC 27001 since they are documents that provide evidence of business transactions and have legal retention requirements. Treating them as data (Option B) overlooks their evidentiary value. Labeling them as information assets (Option C) might mislead the organization in terms of management and compliance. Viewing them as general data (Option D) would result in insufficient controls. Correctly classifying them as records ensures compliance and proper handling based on their significance.

Correct Answer A. The auditor should recommend defining availability objectives (A). ISO/IEC 27001 requires security objectives to cover all relevant aspects of information security, including confidentiality, integrity, and availability. Implementing HA systems is a control, but without specific availability objectives (e.g., acceptable downtime, recovery time objectives), it is impossible to measure the control’s effectiveness. Option B (justification in SoA) is only applicable if a valid reason exists, which it does not in this case. Option C (additional controls) is irrelevant if no availability objectives are defined. Option D (separate objectives) would fragment the ISMS, as availability should be considered holistically for all critical systems.

Option C is correct because the PECB Code of Ethics requires auditors to avoid situations where personal relationships might impair or appear to impair objectivity. Removing the auditor eliminates any potential conflicts of interest and upholds the professionalism of the audit process. Option A is incorrect because assigning the team member to specific areas does not fully address the perception of bias. Option B is also inadequate, as independent reviews do not eliminate the conflict. Option D is not a valid solution because simply documenting the relationship does not mitigate the risk of compromised impartiality.

Correct Answer A. The auditor should recommend implementing a risk rating matrix with predefined criteria (A). A standardized matrix ensures consistency by providing a common reference for assessing the likelihood and impact of risks, thereby reducing subjectivity across departments. Option B (scenario-based analysis) could supplement but not eliminate the need for standardized criteria. Option C (quantitative approach) is not always practical, as it requires extensive data and resources. Option D (risk committee) is useful for oversight but does not directly address the issue of inconsistent risk evaluation.

Option (A) is correct because the absence of a Business Associate Agreement (BAA) is a major non-conformity under HIPAA, which explicitly requires such agreements to define the responsibilities of both parties in handling protected health information (PHI). Option (B) is incorrect because, while a BAA can be established quickly, the current lack of it represents a major compliance issue. Option (C) misunderstands the legal requirement, as compliance is not determined by the cloud provider’s security measures alone. Option (D) is incorrect because an observation does not carry the weight of a non-conformity, which is necessary in this case.

The correct answer is A because providing evidence-based explanations and encouraging the review of relevant documentation demonstrates transparency and supports open communication. This approach respects the auditee’s concerns while maintaining the integrity of the audit process. Option B is incorrect because it shuts down communication and may escalate the conflict. Option C is incorrect because postponing the discussion can create ambiguity and delay resolution. Option D is incorrect because removing findings without proper justification compromises the audit’s objectivity and the auditor’s professionalism.

Correct Answer B. According to ISO 19011, audit findings should be based on evidence, and a lack of documented criteria for risk acceptance can lead to inconsistent risk assessments. Option (B) is correct because the lead auditor should recommend documentation to ensure repeatability, transparency, and conformance to ISO 27001, which requires documented information for such criteria. Option (A) is incorrect because verbal agreements are not sufficient for audit verification. Option (C) is flawed as it undermines the need for a documented approach, which is essential for maintaining a robust risk management framework. Option (D) is excessive, as it may be more appropriate to classify this as a minor non-conformity initially, unless it significantly affects ISMS outcomes.

The correct answer is B because the auditor should request additional supporting evidence to ensure the working documents are thorough and fully substantiated. This ensures the quality of the audit is upheld and all findings are adequately supported. Option A is incorrect because notes from interviews alone may not be sufficient evidence. Option C is incorrect because flagging the issue for later would reduce the completeness of the working papers. Option D is incorrect because stating that evidence was reviewed without attaching it undermines the integrity and reliability of the audit process.

Option (A) is correct because ISO 27001 requires organizations to ensure that outsourced operations involving sensitive data are protected by adequate contractual agreements. If there are no data protection clauses in place to address the jurisdiction’s weaker regulations, this poses a major risk to data confidentiality and compliance. Option (B) is incorrect because the provider’s internal security program alone is not sufficient without legally enforceable agreements. Option (C) is impractical as a recommendation for immediate action. Option (D) misrepresents the issue, as lack of contractual controls is a significant compliance gap, not a minor one.

Correct Answer B. The audit scope should align with the defined audit objectives, which are to assess the effectiveness of controls for protecting customer data (B). If customer data can be accessed or processed by multiple business units, limiting the scope to the customer service department alone would not provide a comprehensive assessment. Including all relevant business units ensures that the audit objectives are met. (A) is incorrect as it undermines the audit’s effectiveness. (C) could result in a fragmented assessment. (D) is only appropriate if a phased approach is agreed upon and documented in the audit plan, but it may still risk missing critical interactions between units.

The correct answer is A because ISO/IEC 27001 emphasizes the principle of minimizing the attack surface and managing access effectively. Automatic expiration reduces the risk of unauthorized access by ensuring that privileges are revoked promptly without relying on manual intervention (as seen in Option B). Maintaining logs (Option C) is beneficial for monitoring but does not address the core issue of access management. Option D contradicts best practices by encouraging persistent access, increasing security risks.

The correct answer is B. Failure to resolve a minor nonconformity within the agreed timeframe can indicate a systemic issue, warranting escalation to a major nonconformity. (A) is incorrect because justifications such as resource constraints do not excuse noncompliance with ISO/IEC 27001 requirements. (B) is correct because unresolved minor nonconformities must be escalated when corrective actions are not implemented effectively. (C) is a good practice but does not address the immediate need to categorize the nonconformity accurately. (D) is incorrect as a follow-up audit is typically scheduled to verify corrective actions after they have been properly documented and planned.

The correct answer is A because PCI DSS requires that organizations implement logging mechanisms to track access to sensitive data and regularly review these logs to detect unauthorized access. MFA (Option B) is an additional security measure but does not meet the logging requirement. Separating the database (Option C) is good for access control but does not address the missing audit logs. Tokenization (Option D) is useful for protecting data but does not satisfy the requirement to track and monitor access. Therefore, enabling and reviewing audit logs ensures compliance with the relevant PCI DSS controls.

The correct answer is C. When audit records are edited or altered by unauthorized individuals, the integrity of the records is compromised, making them unreliable for decision-making. (A) is incorrect because confidentiality concerns arise when sensitive information is exposed, but integrity is the primary concern here. (B) is incorrect as there is no indication that the availability of the records is an issue. (C) is correct because any modification to audit records affects their accuracy and trustworthiness. (D) is secondary because the main focus is the reliability of the data, not just compliance.

Option A is correct because security objectives should be supported by comprehensive controls that address all relevant scenarios. In this case, ensuring the confidentiality of payment data requires encryption both at rest and in transit. Option B is incorrect as it neglects the importance of securing stored data. Option C is partially relevant but does not address the specific gap in control implementation. Option D is incorrect because access control alone does not fulfill the confidentiality requirement if data remains unencrypted at rest.

Option (C) is correct because the auditor must have access to verifiable and detailed evidence to confirm SLA compliance. A summary report lacks the granularity needed to validate whether the third-party provider is meeting the agreed-upon service levels. If such access is not stipulated in the contract, it poses a compliance risk and should be noted as a non-conformity. Option (A) is incorrect because summary reports are not adequate for evidence-based audits. Option (B) is beyond the auditor’s scope during the current audit. Option (D) would provide subjective validation, which is not sufficient for objective compliance assessment.

(A) is incorrect because configuration screenshots can be altered or out of date. (B) is incorrect because policies do not provide evidence of implementation. (C) is correct because performing a live traffic capture and analyzing the data for encryption protocols (e.g., TLS, IPsec) provides direct, verifiable evidence of encryption in use. (D) is incorrect because interviews alone cannot substantiate whether encryption is consistently applied during data transmission.

The correct answer is B because this represents a minor nonconformity. Although the incidents were low-impact, the organization failed to follow its own incident management process, which shows noncompliance with its ISMS procedures. Option A is incorrect because the failure to document these low-impact incidents does not constitute a major nonconformity. Option C is incorrect because the organization is not in full conformity due to the lack of documentation. Option D is incorrect because while it is a minor issue, it goes beyond an observation and needs formal correction.

Option B is correct because without a formalized ISMS document, the organization does not meet the basic criteria for ISO/IEC 27001, making it unfeasible to conduct a full audit. An ISMS document is a foundational requirement for ISO/IEC 27001 compliance, and its absence would hinder the auditor’s ability to evaluate conformity effectively. Option A is incorrect as informal practices cannot be objectively evaluated against a formal standard. Option C, while helpful, does not address the need for documented evidence. Option D would not satisfy the requirements of an ISO/IEC 27001 audit and would compromise the audit’s integrity.

Option C is the correct choice because a minor non-conformity is appropriate when controls are partially implemented but not fully effective. The auditor should consider the evidence and suggest an action plan to resolve the resource constraint. Raising a major non-conformity (Option B) would be disproportionate in this context, as the organization is attempting to address the issue, albeit with limited resources. Option A is incorrect because intent alone does not satisfy compliance requirements. Option D is also incorrect, as ignoring the issue could allow it to grow into a major risk if left unaddressed.

The correct answer is B because ISO/IEC 27001 encourages minimizing the retention of sensitive data to reduce risk. Storing original unmodified data unnecessarily increases the attack surface and potential for misuse. Encrypting the data (Option A) helps protect it but does not align with data minimization principles. Transferring the data back on-premises (Option C) adds complexity and may not resolve the core issue of unnecessary retention. MFA (Option D) is a good security practice but does not address the risk of storing sensitive data. Deleting the data after anonymization aligns with best practices for data protection.

Option (A) is correct because the General Data Protection Regulation (GDPR) mandates specific safeguards, such as SCCs, for international data transfers. Failing to implement these safeguards is a serious non-conformity, making it a major issue that must be addressed. Option (B) is not feasible, as establishing a new data center is a long-term solution and not a compliance requirement. Option (C) is insufficient, as technical safeguards alone cannot replace the legal requirements for international transfers. Option (D) is incorrect because the issue is a significant compliance gap, not a minor one.

Correct Answer A. A stable and operational security team is critical to the effectiveness of the audit (A). Proceeding without key personnel could lead to incomplete findings or inaccurate assessments. (B) would not consider the organizational context and could lead to a poor audit outcome. (C) does not adequately address the impact of the restructuring on audit readiness. (D) is only appropriate if both parties agree and formalize a revised engagement plan.

The correct answer is A because collaboration involves working together to reach a solution based on objective criteria, which ensures both parties understand the reasoning behind the classification. This technique maintains a positive relationship and leads to a consensus-driven outcome. Option B is incorrect because compromising on classification can undermine the audit’s integrity. Option C is incorrect because accommodating in this context would result in an inaccurate representation of the issue’s severity. Option D is incorrect because competing or escalating can damage the auditor-auditee relationship and should be a last resort.

The correct answer is A. ISO/IEC 27001 Clause 6.1.2 requires a consistent risk assessment methodology to ensure uniformity in risk evaluation across the organization. Option A is correct because the lack of predefined criteria leads to inconsistencies, making it impossible to prioritize risks effectively. Option B is incorrect as effectiveness cannot be demonstrated without a consistent methodology. Option C suggests an alternative approach but does not resolve the immediate non-compliance. Option D is a good recommendation for improvement but does not address the need for compliance with a single, consistent methodology.

The correct answer is A. Automating the audit scheduling process ensures that follow-up audits are scheduled promptly and conducted as soon as possible, improving efficiency in resolving nonconformities. This aligns with the principle of continual improvement by reducing delays and enhancing the audit process. B is incorrect because increasing audit time may not prevent nonconformities and would not necessarily improve follow-up efficiency. C might result in rushed corrective actions that could be ineffective, while D could compromise audit quality by reducing the number of auditors available for comprehensive follow-ups.

Option B is correct because ISO/IEC 22301 is often used in conjunction with ISO/IEC 27001 for business continuity, but organizations must still demonstrate that the specific ISO/IEC 27001 requirements are met. Mapping the controls ensures that both standards are aligned. Option A is incorrect as ISO/IEC 27031 is only a guideline for ICT readiness, not a comprehensive BCMS. Option C would leave gaps in ISO/IEC 27001 compliance, while Option D is inefficient and duplicative when integration is more practical.

Option B is correct because the sensitivity of customer data and the lack of recent audits necessitate a high level of assurance to ensure the third-party vendors are managing risks appropriately. The absence of recent vendor reviews increases uncertainty, thus demanding a thorough assessment. Option A is incorrect as minimal assurance is insufficient for sensitive data processing by third parties. Option C is not appropriate because simply checking contracts does not provide assurance of effective control implementation. Option D is incorrect as incidents are not the sole indicator of vendor risk, and the extended period without review elevates the risk level.

The correct answer is A. ISO/IEC 27001 Clause 4.2 requires that the organization define the scope of the ISMS based on the needs and requirements of interested parties, including regulatory bodies. Option A is correct because the lack of specific controls for patient data shows a failure to address critical regulatory needs. Option B is incorrect because general controls may not meet specific regulatory requirements. Option C is not appropriate as ISO/IEC 27001 does not mandate the use of external standards unless required by the organization’s ISMS. Option D may be a good practice but does not resolve the non-conformity regarding regulatory requirements.

The correct answer is A because significant changes to the network infrastructure can introduce new risks and vulnerabilities, so expanding the audit scope to assess these changes ensures that the ISMS continues to operate effectively. Option B is incorrect because a surveillance audit should account for major changes to the ISMS. Option C is incorrect because network changes do not inherently reduce risk and may require increased scrutiny. Option D is incorrect because focusing only on interviews without reviewing the changes themselves would not provide a comprehensive evaluation of the network’s impact on the ISMS.

(A) is incorrect because focusing on a single incident may not provide a comprehensive view of the organization’s incident response capabilities. (B) is correct because developing test scenarios based on potential incidents allows the auditor to evaluate the organization’s readiness and ability to respond to a range of security events, ensuring the incident response plan is robust and effective. (C) is incorrect because reviewing the documented plan without testing practical implementation may not reveal potential weaknesses. (D) is incorrect because evaluating only the minor incident may result in an incomplete assessment.

The correct answer is A because using active listening and asking clarifying questions demonstrates respect for the auditee’s perspective and de-escalates the situation by creating a dialogue. This approach helps to maintain a professional atmosphere while addressing the findings fairly. Option B is incorrect because withdrawing without addressing the concerns could exacerbate the issue. Option C is incorrect because compromising on findings without a valid basis undermines the audit’s credibility. Option D is incorrect because asserting authority without listening can escalate the conflict and damage trust.

The correct answer is A because evaluating the impact of the missed backups by reviewing incident records helps determine whether the discrepancy has led to data integrity issues, which is critical for understanding the significance and potential risks. Option B is incorrect because interviewing alone does not assess the impact. Option C is incorrect because cross-referencing with downtime logs would corroborate reasons but not evaluate the impact. Option D is incorrect because comparing with best practices does not address the specific evidence of missed backups and their potential effect on operations.

Correct Answer C. The lead auditor should first consider whether the organization’s ISMS scope includes remote work (C). If the scope excludes remote work, auditing these processes is not feasible or appropriate. (A) is important but only if remote work is within scope. (B) is a secondary concern, as the primary issue is whether remote work is covered by the ISMS. (D) relates to logistics but does not address the feasibility of auditing remote processes based on the defined ISMS boundaries.

Option (C) is correct because ISO 19011 emphasizes that audit evidence should be verifiable and reliable, but auditors must also respect confidentiality concerns. Engaging in a discussion to find an alternative way to review the logs, such as through anonymization or live monitoring, helps balance evidence requirements and confidentiality principles. Option (A) is incorrect as accepting only screenshots could lead to incomplete or unverifiable evidence. Option (B) is extreme and disrupts the audit process unnecessarily. Option (D) misinterprets the confidentiality principle, as the refusal was based on genuine concerns rather than non-compliance.

Correct Answer A. The auditor should recommend implementing specific access control policies and technical measures (A). ISO/IEC 27001 requires organizations to establish appropriate controls to support security objectives. Defining an objective without implementing supporting controls (e.g., MFA, access restrictions) is ineffective and does not meet the standard’s requirements. Option B (documenting in the SoA) does not address the lack of controls. Option C (new objectives) is unnecessary, as the issue is with implementation, not objective setting. Option D (monitoring system) is helpful but not a substitute for implementing access controls.

Option B is correct because the audit evidence approach requires that documentary evidence be verifiable and corroborated with multiple sources. The report alone may not be sufficient if supporting records such as emails, logs, or incident tickets are missing, as they provide a detailed and objective account of the incident. Option A is incorrect because the written report lacks corroboration, making it unreliable as sole evidence. Option C is partially effective but cannot replace documented evidence. Option D is premature, as the focus should be on gathering additional evidence first, rather than immediately issuing a nonconformity.

Correct Answer C. In this case, materiality should be assessed based on the business context and the confidentiality of the data involved (C). Even though the control weakness affects only a small subset of users, the fact that the system contains highly sensitive information makes it a potentially material issue. Answer (A) is not entirely accurate because the scope and business context must also be evaluated, not just the presence of confidential data. (B) focuses too narrowly on user scope, ignoring data sensitivity. (D) is incorrect because whether the issue was previously identified does not alone determine materiality.

(A) is incorrect because the presence of an active review process indicates that corrective actions are in progress, which should be considered. (B) is correct because applying the “benefit of the doubt” in this context means recognizing the organization’s efforts to correct the issue while still documenting it as a minor non-conformance, as the control is not fully implemented. (C) is incorrect because delaying the audit is not a viable solution. (D) is incorrect because excluding the issue entirely would overlook a temporary gap in access control implementation.

The correct answer is B. ISO/IEC 27001 Clause 9.1 requires the organization to monitor, measure, and analyze information security incidents to evaluate the ISMS's performance. Option B is correct because it directly addresses the requirement for systematic review of incident logs. Option A is incorrect as focusing only on documentation does not address the broader issue of analysis and monitoring. Option C is not practical since the standard requires the organization to have internal processes for monitoring and analysis. Option D is a suggestion for technical enhancement but does not focus on compliance with the standard.

Option A is correct because to verify compliance with the policy, the auditor needs evidence that quarterly validations have been conducted as required. This would involve obtaining at least two separate quarterly validation reports showing the compliance status of all devices over time. Option B is incorrect because while physical inspection is useful, it only verifies the current state and does not confirm compliance with quarterly validation requirements. Option C is insufficient, as interviews do not provide documented evidence of compliance. Option D is also incorrect, as comparing a single list against inventory records does not demonstrate adherence to the quarterly validation policy.

The correct answer is C because modifying the checklist in real-time allows the auditor to adapt to the changes in the organization’s processes and ensures that the audit remains relevant and effective. This flexibility ensures that the checklist supports the audit rather than constraining it. Option A is incorrect because following an outdated checklist would result in an incomplete or irrelevant audit. Option B is incorrect because completely discarding the checklist could lead to a lack of structure, potentially missing critical areas. Option D is incorrect because waiting until the next audit to update the checklist may result in gaps in the current audit findings.

The correct answer is B. Kibana is a visualization tool that works with Elasticsearch to aggregate, analyze, and display log data from multiple sources. This is particularly useful when reviewing large volumes of log data to assess compliance with access control policies. A (Metasploit) is a penetration testing framework and is not used for log aggregation or analysis. C (Wireshark) is a packet capture tool and would not be efficient for analyzing logs from multiple servers. D (Burp Suite) is a web application security testing tool, also irrelevant to log analysis in this scenario.

The correct answer is A. In the "Plan" phase of the PDCA cycle, objectives must be clearly defined and measurable. By establishing audit criteria and metrics, the organization ensures that the audit program can assess whether the incident response improvements are effective. Option B is incorrect because the PDCA cycle emphasizes integrated audits, not isolated assessments. Option C delays accountability, which is contrary to the purpose of the "Plan" phase. Option D would prevent the audit from addressing critical processes like incident response, which goes against continuous improvement principles in ISO/IEC 27001.

The correct answer is A because ISO/IEC 27001 requires documented information, such as the Information Security Policy, to be formally reviewed and approved by top management to demonstrate leadership support and ensure alignment with organizational objectives. Without formal approval, the policy lacks legitimacy and may not fully reflect management’s commitment to information security. Option B is incorrect because awareness alone does not satisfy the standard’s requirement for formal approval. Option C is incorrect because verbal or informal acceptance does not align with ISO/IEC 27001’s documented information controls. Option D is incorrect because visibility does not substitute for formal approval, which is necessary to ensure the policy’s enforceability and compliance.

Correct Answer C. The primary responsibility of the audit team leader includes providing technical oversight and support to ensure that team members can effectively fulfill their roles (C). In this scenario, the team leader should provide targeted guidance to address the specific knowledge gap, ensuring the quality and consistency of the audit findings. Reassigning the team member (A) may disrupt the audit’s flow and decrease efficiency. Providing additional training (B) is not practical during an ongoing audit and is more appropriate for long-term skill development. Allowing the team member to continue independently (D) risks compromising the quality and reliability of the audit findings.

Option B is correct because the engagement terms must reflect the current operational structure of the organization. Including the new regional office in the engagement ensures that the audit covers all relevant sites within the ISMS scope. Option A is incorrect because excluding the new office would result in an incomplete audit. Option C may lead to inconsistencies in the audit process and findings. Option D is unnecessary as the audit terms can be updated to reflect the inclusion without postponement.