Free Practice Exam 3

The correct answer is B. The auditor should recommend adding regular testing of the backup restoration process (B) to ensure the new system works as intended. Backup systems are only effective if data can be successfully restored, and testing is a critical part of ISO/IEC 27001 requirements. Option (A) is incorrect because implementation without testing does not fully mitigate the risk. Option (C) is too harsh; the plan can be improved by adding the testing requirement. Option (D) is incorrect because backup testing is a necessary part of the action plan and should not be deferred.

Option C is correct because a first-party audit is conducted by an organization on its own processes and management systems. The purpose is to internally verify compliance and performance, and the findings are typically used to support management decisions. Option A is incorrect because a second-party audit would involve an external stakeholder, such as a client or supplier, which is not the case here. Option B is misleading, as the audit is internal, even though the department is independent. Option D is also incorrect because a certification audit requires an external body to issue an official ISO/IEC 27001 certification, which is not applicable here.

Correct Answer A. In structured, process-oriented cultures like Germany’s, providing a detailed audit plan with precise instructions (A) helps ensure transparency, aligns with cultural expectations, and facilitates smooth audit execution. (B) would likely cause confusion and disrupt the structured approach. (C) could be perceived as unprofessional or insufficiently prepared. (D) might create ambiguity, as a more hierarchical approach is generally preferred in structured environments.

Correct Answer A. The auditor should emphasize the concept of root cause analysis (A). Repeated findings indicate that surface-level symptoms are being addressed without tackling the underlying causes. ISO/IEC 27001’s continual improvement process requires organizations to identify and eliminate root causes to prevent recurrence of issues. Option B (corrective action planning) is necessary but ineffective without understanding the root cause. Option C (process optimization) might be relevant later but is not the immediate priority. Option D (risk prioritization) could help focus resources but doesn’t address why issues recur.

(A) is incorrect because a non-conformance should not be documented without validating whether the missing approval is required by the organization’s procedures. (B) is correct because verifying the requirements in the procedures ensures that the evidence is evaluated against the organization’s internal controls and criteria, which is a key component of the audit evidence approach. (C) is incorrect because verbal confirmation is not reliable without documented evidence. (D) is incorrect because resolution alone does not confirm compliance with procedural requirements.

The correct answer is B. Annex A.8.2.3 requires organizations to implement procedures for handling, storing, and transferring information assets to prevent unauthorized access or misuse. Option B is correct because the unrestricted use of USB drives poses a risk of data loss or leakage, and appropriate handling controls must be in place. Option A focuses on mobile device policies, which do not cover USB drives. Option C deals with removing access rights, which is unrelated to handling portable storage media. Option D addresses software installation but not asset handling.

The correct answer is B because an ISO/IEC 27001 audit should focus on the overall effectiveness of the ISMS while also documenting minor non-conformities, as these could indicate potential weaknesses. This response balances addressing the compliance officer’s concerns and adhering to audit principles. Option A is incorrect because emphasizing all non-conformities equally can shift the audit focus from strategic effectiveness to tactical minutiae. Option C is incorrect because auditors cannot change the audit focus arbitrarily. Option D is incorrect because excluding minor non-conformities goes against the standard practice of providing a comprehensive audit report.

(A) is incorrect because halting the audit is not appropriate if corrective actions can be suggested within the audit context. (B) is incorrect because informal discussions without documentation do not meet ISO/IEC 27001 requirements. (C) is correct because ISO/IEC 27001 mandates that all risk treatment decisions, including risk acceptance, must be formally documented and justified as part of the risk management process. Lack of documentation could lead to accountability issues and unmitigated risk exposures. (D) is incorrect because the role of the auditor is to identify non-conformities, not recommend management actions.

The correct answer is A because interviewing a random sample of employees provides insight into the actual awareness and understanding of security concepts taught during the training, verifying whether the training is effective. Option B is incorrect because reviewing incident response procedures does not directly correlate with training effectiveness. Option C is incorrect because verifying the LMS functionality does not assess employee knowledge. Option D is incorrect because analyzing network traffic logs would not confirm that employees have internalized the training content.

Correct Answer A. The lead auditor should recommend establishing a vendor risk management process (A). This process should define criteria for selecting, monitoring, and evaluating third-party security practices to ensure they align with the organization’s security objectives. ISO/IEC 27001 requires organizations to manage third-party risks effectively, as they can significantly impact the ISMS. Option B (separate policy) may lead to fragmented management if not integrated into a broader risk management strategy. Option C (modifying data protection policy) is insufficient without a defined risk management process. Option D (encryption) is a technical control that should be part of a larger vendor management strategy.

Option A is correct because ISO/IEC 27001 requires that the organization’s context be established by considering both internal and external stakeholders, ensuring that the ISMS aligns with their needs and expectations. Failing to consult key departments means that the organization has not adequately defined its context, potentially leading to gaps in its ISMS. Option B, Leadership and Commitment, relates to top management’s role, but the issue here is stakeholder identification and inclusion. Option C, Risk Treatment, focuses on managing identified risks, while the problem lies in the ISMS design phase. Option D, Information Classification, addresses data handling, which is not the root cause in this scenario.

The correct answer is B because a certification recommendation can be made if the organization agrees to implement and enforce a structure for incident response within a defined period. Incident response is a critical component of ISO/IEC 27001, and its absence should be addressed formally, but it does not necessarily warrant withholding certification if a corrective action plan is in place. Option A is incorrect because operational effectiveness is not a substitute for formalized procedures. Option C is too extreme unless it’s a repeat finding or poses an immediate risk. Option D is incorrect because follow-up audits should focus on major non-conformities.

Correct Answer d. The lead auditor should recommend implementing an asset disposal policy (D) that includes oversight of the third-party vendor’s secure disposal processes. ISO/IEC 27001 requires organizations to ensure that all assets containing sensitive information are securely managed throughout their lifecycle, even if managed by third parties. Option A (accepting justification) is incorrect, as third-party activities must still align with the organization’s ISMS. Option B (adding a clause) is only part of the solution but doesn’t address internal oversight. Option C (major non-conformity) is excessive if procedures are lacking but can be developed.

Option (B) is correct because to leverage big data analytics effectively, all critical data sources must be integrated to provide a comprehensive view of potential privacy breaches. Recommending integration and re-testing ensures that the system is functioning as intended. Option (A) is too severe without understanding the impact on overall effectiveness. Option (C) is impractical, as manual methods cannot replicate the scale and speed of big data analytics. Option (D) underestimates the issue, as missing critical data sources can lead to compliance gaps and unaddressed security risks.

Option A is correct because under ISO/IEC 27001, all third parties handling sensitive information must be included in the organization’s risk assessment, regardless of the contractual structure. Excluding such vendors creates a significant gap in the ISMS and increases the risk of unmanaged vulnerabilities. Option B is incorrect because the vendor’s independence does not negate the organization’s responsibility for assessing the associated risks. Option C is not applicable since the vendor’s activities are clearly relevant. Option D is reactive rather than proactive and fails to meet audit best practices.

Option B is correct because the auditor must report any significant findings objectively, while also reflecting any future remediation plans proposed by the auditee. This approach maintains the audit’s integrity and ensures that management’s response is documented without compromising the accuracy of the findings. Option A is incorrect because agreeing to a private arrangement would violate ethical principles and could expose the auditor to legal risks. Option C downplays the severity of the issue, as outdated encryption poses a serious risk to data security. Option D is incorrect because excluding a critical nonconformity, regardless of future plans, undermines the purpose of the audit and violates the auditor’s obligation to provide a true and fair view.

The correct answer is B because documenting the disagreement and proceeding with the meeting allows the auditor to maintain the scheduled process while acknowledging the auditee’s concerns. Offering to review additional evidence later is appropriate as long as it does not invalidate the audit findings. Option A is incorrect because postponing the closing meeting disrupts the audit’s conclusion and timeline. Option C is incorrect because removing a valid finding without review undermines the audit’s credibility. Option D is too rigid and could damage the relationship with the auditee, affecting future compliance efforts.

(A) is incorrect because the auditor cannot accept an alternative framework without verifying compliance with ISO/IEC 27001 requirements. (B) is incorrect because ISO/IEC 27001 allows for control exclusions, provided the exclusions are justified. (C) is correct because Annex A controls can be excluded if properly justified, and the auditor must assess the justification and alignment with risk treatment results. (D) is incorrect because recommending specific actions goes beyond the auditor's role; the focus should be on verifying compliance.

(A) is incorrect because the extended retention of administrative privileges presents a significant security risk and should not be treated as a minor non-conformance. (B) is correct because failure to revoke elevated privileges in a timely manner violates the principle of least privilege and indicates a non-compliance with access control policies, which is a major issue. (C) is incorrect because a positive finding would be inappropriate for an unresolved compliance gap. (D) is incorrect because the auditor cannot ignore the issue simply because it is known or considered temporary.

The correct answer is A because reviewing training records and communications logs provides evidence of whether the policy has been formally communicated and acknowledged by employees, verifying that the organization has taken steps to ensure awareness. Option B is incorrect because technical verification only ensures accessibility, not effective communication. Option C is incorrect because testing knowledge through sampling does not confirm that the communication process itself was properly followed. Option D is incorrect because observing a single training session does not provide historical evidence of communication to all employees.

Option B is correct because in dynamic environments like software development, a flexible audit plan allows auditors to adapt to changes and ensure that newly implemented or evolving processes are appropriately evaluated. This approach ensures that the audit remains relevant and aligned with the organization’s current state. Option A is incorrect because focusing on traditional components would overlook key cloud security issues. Option C is too narrow and does not address the overall development process risks. Option D is inappropriate, as excluding cloud environments could result in missing significant security risks.

Correct Answer B. The scenario primarily represents control risk (B), as the rapid implementation without testing or documentation significantly increases the chance that controls are not operating effectively. The best response is to perform a control effectiveness review to determine whether these controls are adequately mitigating risks and to establish proper documentation processes. Inherent risk (A) would be the focus if there were a fundamental issue with the system itself. Detection risk (C) is related but not the central concern, as the primary risk is control design and application. Compliance risk (D) is secondary to ensuring that controls are effective, making it a less appropriate focus.

Correct Answer A. The auditor should recommend listing only the applicable controls (A) based on the risk assessment and providing justifications for any exclusions. ISO/IEC 27001 mandates that the SoA accurately reflects the organization’s decision to include or exclude controls, ensuring that only relevant controls are selected based on the organization’s risk profile. Including all controls without justification is not compliant and can lead to confusion. Option B (separate document) complicates traceability. Option C (new section) is unnecessary if the controls are not relevant. Option D (second risk assessment) is redundant if the initial risk assessment was conducted correctly.

The correct answer is A. The appropriate recommendation is to update the risk assessment process (A) annually or whenever significant changes occur, as ISO/IEC 27001 requires a dynamic approach to risk management. This ensures that new and emerging risks are considered and managed effectively. Option (B) is incorrect because risk assessments need regular updates to stay relevant. Option (C) is not advisable because the entire assessment may need review, not just new risks. Option (D) is incorrect because waiting until after certification would leave significant risks unaddressed during the certification process.

Correct Answer B. The primary responsibility of a technical expert in an ISO/IEC 27001 audit is to provide an objective assessment of technical controls without offering consulting advice (B). Providing specific recommendations can blur the lines between auditing and consulting, compromising the audit’s independence. (A) is incorrect because it goes beyond the intended role of the expert. (C) partially addresses the issue but does not emphasize the importance of maintaining objectivity. (D) is extreme and unnecessary if the issue can be resolved by clarifying roles and responsibilities.

The correct answer is A. Storing audit records that include sensitive data without encryption poses a security risk, and the organization must implement encryption to ensure compliance with ISO/IEC 27001’s confidentiality requirements. B is not a sufficient solution, as reducing the retention period does not address the lack of security for stored data. C is impractical, as physical storage would not solve the issue of ensuring the confidentiality of sensitive data. D is incorrect because secure premises alone do not address the risk of unauthorized access to unencrypted digital data.

The correct answer is A because ISO/IEC 27001 requires that all security incidents be managed effectively, which includes conducting root cause analysis and implementing corrective actions to prevent recurrence. Without this, the ISMS cannot demonstrate continual improvement or effective incident management. Option B is incorrect because this is a major gap that compromises the ISMS’s effectiveness. Option C is incorrect because follow-up audits cannot replace the need for immediate corrective actions. Option D is incorrect as the absence of repeat incidents does not justify skipping root cause analysis, which is a critical requirement.

The correct answer is C. The "Act" phase focuses on implementing corrective actions and making improvements to the audit program based on previous results. (A) is not a primary action for the "Act" phase and does not address the root cause of recurring nonconformities. (B) may help reduce nonconformities but does not implement systematic changes to prevent them. (C) is correct because it directly applies the PDCA methodology by using audit findings to make process improvements and adjust the audit program. (D) could be relevant but is secondary to addressing systemic issues within the audit program itself.

Correct Answer A. The audit scope must be limited to the boundaries defined by the ISMS scope (A). Since archived tape backups are explicitly excluded from the ISMS, they should not be assessed during the audit. Including them (B) would result in scope misalignment. While recommending a scope expansion (C) may be considered in future ISMS updates, it is not appropriate during the current audit. Modifying the audit criteria (D) is unnecessary, as the exclusion of archived data is already reflected in the ISMS scope.

The correct answer is B. The Statement of Applicability (SoA) in ISO/IEC 27001 allows organizations to include or exclude Annex A controls based on applicability. Option B is correct because the auditor must validate the justification for any exclusions to ensure they are legitimate and that the controls are not necessary for the organization's risk treatment plan. Option A is incorrect as not all Annex A controls need to be included if a valid justification exists. Option C is inappropriate because it assumes a mandatory implementation without considering applicability. Option D is incorrect because certification alone does not justify non-compliance during an audit.

Correct Answer A. The lead auditor should recommend reviewing the risk treatment options (A) to ensure that a balanced approach is used, addressing both technical and organizational risks. ISO/IEC 27001 mandates that risk treatment plans include a combination of administrative, technical, and physical controls to mitigate identified risks effectively. Option B (revisiting risk identification) is unnecessary if the risks have already been identified but not properly treated. Option C (risk acceptance) should only be considered if no feasible controls are available, which is not the case here. Option D (updating the SoA) is secondary to establishing appropriate risk treatments.

Option B is correct because detective controls, such as automated backup integrity checks or alerts, would identify failures in the backup process. This ensures that the organization is aware of any issues and can take corrective action before an actual disaster occurs. Option A, Corrective, would address failed backups but would not detect them proactively. Option C, Preventive, would involve measures to prevent failures from occurring but does not help identify them when they happen. Option D, Compensating, would be relevant if the organization could not implement primary controls, which is not the case here.

Correct Answer C. The key issue here is detection risk (C), as the infrequent testing increases the probability of failing to detect vulnerabilities or control failures in a timely manner. Automating the testing procedures would improve the likelihood of detecting issues as they arise, making it a suitable recommendation. Control risk (A) is less relevant because the controls themselves are effective but not tested frequently enough. Inherent risk (B) is high by default, but the scenario focuses on the detection of issues, not their likelihood. Residual risk (D) is a byproduct of the existing control environment and would not directly address the identified concern.

The correct answer is A because it reinforces the role of the guide while ensuring that technical questions are answered by the individuals directly responsible for those areas. This approach maintains the guide’s involvement without undermining the network administrator’s role. Option B is incorrect because it prevents the auditor from assessing the competency and involvement of the actual process owners. Option C is incorrect because asking the guide to leave the room disrupts the audit flow and could damage the working relationship. Option D is incorrect because completely silencing the guide is too restrictive and may hinder effective communication.

Option (B) is correct because second-party audits are conducted on behalf of a client (in this case, the manufacturing firm) to evaluate a supplier’s compliance. Even though the consultant is independent, they are acting on behalf of the manufacturing firm, making this a second-party audit. Option (A) is incorrect because a first-party audit is always conducted internally. Option (C) is incorrect because third-party audits involve certification bodies, not independent consultants performing targeted evaluations. Option (D) is incorrect because joint audits involve multiple audit bodies working together, which is not the case here.

Option (B) is correct because professional responsibility and the PECB Code of Ethics require auditors to avoid conflicts of interest that could impair their independence. Since the lead auditor was previously involved in the internal audit, this creates a conflict that must be reported to the certification body for resolution, even if it was an oversight. Option (A) is inadequate because continuing the audit would compromise its objectivity. Option (C) is not sufficient, as a conflict of interest affects the entire audit. Option (D) misrepresents the nature of the issue, as it is not a non-conformity of the ISMS but an ethical concern.

Option B is correct because when auditing multiple business units under a single certification, the audit objectives should focus on the organization’s overall security posture while considering unit-specific implementations. This ensures that the certification reflects the organization as a whole. Option A would fragment the audit and not provide a unified certification. Option C would not meet the client’s request for a single certification. Option D is incorrect because simplifying the audit by limiting objectives would reduce the audit’s effectiveness and comprehensiveness.

Option (C) is correct because technical evidence involves the review of live configurations, settings, and system states to verify compliance. In this scenario, the live demonstration of the firewall setup provides real-time technical evidence of its implementation. Option (A) is incorrect because physical evidence pertains to tangible, observable security features (e.g., physical locks). Option (B) is not applicable, as analytical evidence involves interpreting data or statistics. Option (D) is incorrect because the digital file itself is documentary evidence, while the live demonstration is technical.

The correct answer is B. A professional auditor should remain calm, respectful, and diplomatic when delivering difficult findings. By explaining the rationale behind the nonconformities and offering clarification, the auditor helps the auditee understand the findings and reduces the potential for conflict. A is incorrect because lowering the severity compromises the integrity of the audit. C is inappropriate as being overly assertive could escalate the situation further. D is also incorrect, as ending the meeting abruptly may leave the auditee feeling unheard, negatively affecting the relationship.

The correct answer is A. Mapping audit results to the requirements of each standard ensures that the combined audit is streamlined without compromising compliance. (A) is correct because it reduces redundancy while ensuring both standards are met. (B) is inefficient and time-consuming, leading to potential auditor fatigue. (C) is incorrect because it neglects ISO 20000-1 requirements. (D) unnecessarily complicates the audit process and goes against the efficiency goals of a combined audit.

The correct answer is A because ISO/IEC 27001 mandates that risks be treated based on their impact and likelihood. This ensures that critical vulnerabilities posing a high risk are addressed promptly. An automated patch management system (Option B) is useful but may not align with a risk-based prioritization approach. Monthly scans (Option C) help in identification but do not ensure timely remediation. Developing separate plans (Option D) can lead to inefficiency and delay. Prioritizing based on impact and likelihood ensures that high-risk vulnerabilities are managed effectively and in alignment with risk management principles.

The correct answer is B. While ISO/IEC 27001 certification is important, ensuring that auditors have industry-specific knowledge and experience with ISMS audits is crucial to the success of a third-party certification audit. This ensures the audit is both technically sound and relevant to the client’s context. A overlooks the importance of industry knowledge. C is incorrect because competency should not be sacrificed for speed. D focuses too narrowly on local regulations, which are important but not the only consideration for auditor competency.

The correct answer is C. Reporting missing records to management and developing a corrective action plan addresses both immediate and future compliance issues. (A) is too reactionary without first understanding the root cause and discussing it with management. (B) is incorrect as reconstructed data would not be reliable or meet ISO requirements. (C) is correct because it ensures that senior management is aware of the issue and a structured plan is developed to prevent recurrence. (D) focuses on implementing a solution without first addressing the root cause or reporting the issue, making it a secondary step.

Option (B) is correct because excessive false positives indicate that the system’s thresholds or analytics models need refinement. Reducing false positives is essential for maintaining the effectiveness of big data controls, as a high false-positive rate can lead to alert fatigue and overlooked genuine threats. Option (A) is incorrect because the core system may be functioning correctly but just requires tuning. Option (C) is impractical and inefficient. Option (D) is incorrect because false positives directly impact the control’s effectiveness by misallocating resources.

Correct Answer A. The auditor should recommend establishing a unified incident management process (A) that categorizes incidents based on their impact on quality, safety, and security. This approach reduces redundancy and ensures that the organization has a single, streamlined process for handling all incidents, thus enhancing efficiency and effectiveness. Option B (centralized dashboard) might improve visibility but does not address process duplication. Option C (separate tracking) contradicts the principle of integration. Option D (separate teams) maintains the current inefficiency and hinders collaboration.

Option B is correct because the lack of specific controls for managing blockchain-related risks indicates a minor nonconformity in the organization’s information security policy. While ISO/IEC 27001 does not prescribe technology-specific controls, the standard requires that organizations address all relevant risks, including those introduced by new technologies. Option A is incorrect because some controls may already exist, even if they are not fully defined. Option C is inadequate, as deferring action could lead to unmanaged risks. Option D is incorrect because excluding new technology risks from the audit scope would contradict ISO/IEC 27001’s requirement to assess all relevant security risks.

The correct answer is C. In cases of significant security incidents like a data breach, the certification should be suspended until the organization has addressed the root causes and strengthened their incident response process. The breach demonstrates a critical failure in the ISMS, requiring immediate corrective actions before certification can be reinstated. Option A is incorrect because revocation is reserved for repeated or unresolved nonconformities. Option B is irrelevant in this case, as the issue is not about extending the scope but addressing a critical failure. Option D is incorrect because serious incidents directly impact the effectiveness of the ISMS, and maintaining certification without action would undermine the credibility of the certification.

The correct answer is A because the absence of evidence regarding the review and updating of risk treatment plans should be documented in the working papers, linked to the relevant control, and assessed for its potential impact on the ISMS. Option B is incorrect because working papers should provide a complete record, including any missing elements. Option C is incorrect because downplaying the importance of missing evidence is not best practice in audit documentation. Option D is incorrect because observations should still be documented in a manner that allows for further evaluation.

The correct answer is A because Stage 1 audits require the organization to have a documented risk assessment methodology to ensure consistency and alignment with the ISMS objectives. ISO/IEC 27005 provides guidance on risk assessment, and having a formal methodology is necessary to demonstrate a structured approach to managing risks. Option B is incorrect because Stage 1 audits do not issue non-conformities but provide recommendations. Option C is wrong because establishing a risk committee does not substitute the need for formal documentation. Option D is incorrect because ad-hoc risk assessment lacks the consistency required for ISMS compliance.

Correct Answer C. The best approach is to request a form of access that adheres to security policies (C) while allowing the technical expert to verify the potential issue. Read-only access or conducting the verification with an IT representative present strikes a balance between maintaining security and gathering the necessary evidence. (A) may not be feasible if it violates organizational policies. (B) could result in an incomplete assessment, undermining the technical expert’s role. (D) is premature without attempting a compromise that allows for proper verification.

(A) is incorrect because even non-technical departments play a crucial role in maintaining the security of the organization through policies, awareness, and operational controls. (B) is correct because ISO/IEC 27001 emphasizes the involvement of all relevant departments to ensure comprehensive risk management. HR and Operations impact areas such as employee onboarding, termination, and operational security, making their inclusion necessary. (C) is incorrect because post-audit briefings cannot substitute active participation. (D) is incorrect because focusing solely on technical aspects limits the scope of the audit and overlooks key security roles.

Correct Answer B. The lead auditor should point out that the issue relates to the performance evaluation (B) principle of an integrated management system, which mandates that all management systems’ performance indicators are reviewed during management review meetings. Focusing solely on financial metrics undermines the integrated review process. Option A (balanced scorecard) is a tool, not a mandatory principle. Option C (compliance management) is too narrow, and option D (strategic alignment) is relevant but doesn’t address the specific issue of performance evaluation.

The correct answer is D because ISO/IEC 27001 encourages a comprehensive approach to managing compliance by understanding how its controls align with other standards. Revising the ISMS for every standard (Option A) can lead to redundancy and confusion. Focusing solely on ISO/IEC 27001 (Option B) would result in partial compliance. Creating separate teams (Option C) could fragment the compliance process. Mapping and documenting gaps (Option D) ensures that the organization understands its compliance status across all applicable standards and can address any deficiencies systematically.

The correct answer is C. Assessing the auditor’s knowledge and identifying any gaps is the most appropriate first step before taking further action. (A) is too drastic without confirming the auditor’s knowledge level. (B) may disrupt the audit and undermine team dynamics without a full understanding of the issue. (C) is correct because it allows for a structured evaluation of the auditor’s skills and helps tailor any necessary training. (D) delays addressing the issue and does not directly improve the current audit program’s efficiency.

The correct answer is A. ISO/IEC 27001 requires that audit procedures be up-to-date and relevant to the organization’s current technology environment. Updating the audit procedures to include guidelines for digital evidence collection and handling is essential to maintain compliance and ensure the integrity of the audit process. Option B would cause unnecessary delays and does not address the issue. Option C is incorrect because relying solely on auditor expertise without updating procedures is a risk. Option D is unnecessary if internal auditors can manage digital evidence once proper procedures are in place.

Option C is correct because while the server does not process live data, third-party access introduces potential vulnerabilities that need to be addressed, making this a moderate materiality issue. Excluding this server could lead to unaddressed risks if not documented properly. Option A is incorrect as assigning high materiality would be disproportionate given the server’s role. Option B underestimates the risk of third-party access. Option D is incorrect because even test environments must be accounted for in risk assessments to ensure the overall integrity of the ISMS.

Option (A) is correct because the information provided by the IT security manager is verbal evidence. Verbal evidence is the least reliable form of evidence and must be corroborated with other types of evidence, such as logs, reports, or system configurations. Option (B) is incorrect because there are no technical details or configurations being reviewed. Option (C) misinterprets confirmative evidence, which involves cross-verifying with another independent source. Option (D) is irrelevant because documentary evidence would require actual documents or logs, which are missing in this scenario.

The correct answer is A because systematic sampling could introduce bias if there is a recurring pattern in the incident reports that aligns with the sampling interval, potentially causing certain trends to be over- or under-represented. Option B is incorrect because systematic sampling is typically more efficient than random sampling when there is a structured dataset. Option C is incorrect because the method is designed to select data across a defined period, although the sample could miss recent incidents if not carefully planned. Option D is incorrect because systematic sampling can still capture high-priority incidents depending on the interval and the dataset's structure.

Correct Answer B. The auditor should recommend implementing a PDCA (Plan-Do-Check-Act) cycle (B) for each management review. The PDCA cycle is a core continual improvement model in ISO management systems and ensures that findings from management reviews lead to concrete actions and improvements. Option A (Corrective Action Request) might address specific metrics but does not create a holistic improvement approach. Option C (improvement committee) could help but is secondary to having a structured PDCA cycle. Option D (lessons learned) is useful but doesn’t ensure immediate action based on review findings.

Correct Answer A. The audit scope should align with the defined ISMS scope (A). If the ISMS scope only covers the e-commerce platform, the POS systems cannot be included in the current audit, as they are outside the ISMS boundaries. (B) is incorrect because it introduces scope misalignment. (C) would be viable if a formal ISMS scope revision occurred before the audit, but this is not typically feasible during an ongoing audit. (D) might be a valid suggestion for future audits but does not address the immediate need to align the current audit scope.

Option (A) is correct because a second-party audit is conducted by an organization’s customer or client to evaluate the effectiveness of specific processes or controls. In this scenario, even though the organization is already certified, the customer is conducting a targeted audit to assess specific areas of concern, making it a second-party audit. Option (B) is incorrect because a first-party audit is internally driven, while this audit is external. Option (C) is incorrect because third-party audits are performed by independent certification bodies, not by customers. Option (D) is incorrect because surveillance audits are periodic reviews conducted by certification bodies to maintain certification status.

(A) is incorrect because addressing issues in the final report without correcting the working papers can lead to inconsistencies. (B) is incorrect because only the original auditor should amend the findings to maintain the integrity of the documentation. (C) is correct because the auditor responsible for the finding should update the working documents to include specific clause references, ensuring traceability and alignment with ISO/IEC 27001 requirements. (D) is incorrect because documenting a limitation does not resolve the gap in referencing the standard.

The correct answer is A. ISO/IEC 27001 Clause 6.1.3 requires that the risk treatment plan be reviewed and updated in response to significant changes that could impact the organization’s risk landscape. Option A is correct because the addition of a new data center in a high-risk area is a significant change that necessitates an update to the risk treatment plan. Option B is a potential follow-up action but does not address the compliance issue. Option C is prescriptive and outside the auditor’s role. Option D is incorrect because previous audits do not justify the absence of a risk treatment update for new developments.

Correct Answer A. The auditor should recommend providing a detailed justification for each excluded control (A). ISO/IEC 27001 requires that every control excluded in the SoA be justified based on the organization’s specific context and risk assessment. Generic statements or assumptions (e.g., “cloud-based companies don’t need physical controls”) are not sufficient. Option B (separate risk analysis) is unnecessary if the SoA provides adequate justification. Option C (generic statement) does not meet the standard’s requirements for specific justifications. Option D (separate section for exclusions) might improve organization but does not replace the need for detailed justifications.

Option A is correct because ISO/IEC 27001 emphasizes the need for a balanced approach between preventive (e.g., encryption), detective (e.g., monitoring), and responsive (e.g., incident response) controls. Without a response plan, the organization cannot effectively react to breaches, leaving sensitive data vulnerable even if preventive measures are strong. Option B is incorrect as it disregards the need for comprehensive incident management. Option C is incorrect because responsive controls are mandatory for effective risk management. Option D is incorrect as prioritizing detective over responsive controls would still leave gaps in incident handling.

(A) is incorrect because a purely random sample might miss critical high-risk changes. (B) is correct because stratified sampling allows the auditor to categorize the changes by risk level (e.g., high, medium, low) and ensures that samples from each category are included, leading to a more balanced assessment. (C) is incorrect because focusing on one month may not capture variability in change management throughout the year. (D) is incorrect because haphazard sampling lacks structure and could result in an unbalanced sample that does not reflect all risk levels.

Correct Answer B. Reasonable assurance (B) goes beyond just compliance; it encompasses the management of risks to stakeholder trust and the organization’s reputation. Excluding customer notification may legally be permissible, but it does not provide reasonable assurance that customer interests are adequately protected. (A) is incorrect because reasonable assurance should consider broader risks, not just legal compliance. (C) overstates the requirements of reasonable assurance, which aims for a balanced approach. (D) would be insufficient because the lack of a notification process could expose the organization to reputational harm, making documentation alone inadequate.

(A) is incorrect because a major non-conformance is not justified given the minimal impact and the presence of some form of change control. (B) is correct because the inconsistency still needs to be documented as a minor non-conformance, while recognizing the lower impact to avoid overstating the severity. (C) is incorrect because informal procedures that contradict the ISMS requirements should not be reported as mere observations. (D) is incorrect because excluding departments from the ISMS scope is outside the auditor’s purview and does not resolve the non-conformance.

The correct answer is A. The failure to meet the 12-month retention requirement for logs (A) represents a major risk to the organization’s ability to detect security incidents. Although the organization is working to resolve the issue, the current gap is significant enough to warrant a major nonconformity (A). Option (B) is incorrect because the retention failure could lead to undetected incidents, and a minor nonconformity would not reflect the seriousness of this control failure. Option (C) is incorrect because ongoing corrective actions do not negate the current nonconformance. Option (D) is incorrect because this issue is far more critical than an observation; logs are essential to an organization's ability to respond to incidents effectively.

The correct answer is A because a risk prioritization matrix provides a structured approach for evaluating and ranking risks, ensuring that resources are allocated to address the most critical risks first. A quantitative model (Option B) can be complex and might not be necessary in all cases. Treating all risks equally (Option C) is inefficient and may divert resources from critical areas. Separate teams (Option D) could lead to inconsistent risk treatment. Using a prioritization matrix ensures that risk management efforts are focused and effective, aligning with ISO/IEC 27001’s principles.

The correct answer is B because ISO/IEC 27001 requires organizations not only to document an incident response plan but also to test it regularly to ensure its effectiveness. The absence of testing should be recorded as a minor non-conformity, with a recommendation for corrective action. Option A is incorrect because while testing is critical, the absence of it does not indicate a complete failure of the incident response system. Option C is incorrect because this issue requires more than just a suggestion for improvement. Option D is incorrect because merely documenting the plan without testing does not fully meet ISO/IEC 27001 requirements.

Option C is correct because documentary evidence, such as signed-off review reports, provides a detailed record of the reviews, including actions taken to address anomalies, thereby demonstrating the effectiveness of the review process. The initial screenshot only shows that reviews are scheduled, which does not confirm execution. Option A is incorrect because verbal confirmation cannot substitute for documented proof. Option B is impractical, as observing a meeting does not provide a historical record of past reviews. Option D is unrelated, as trend analysis of user roles does not confirm the access review process itself.

Correct Answer 3. Reasonable assurance (C) requires a balanced approach, considering the practicality and risk associated with controls. Implementing a risk-based change management process ensures that resources are appropriately allocated while maintaining a reasonable assurance that critical changes are adequately managed. (A) is incorrect because it ignores potential risks that minor patches could introduce. (B) overstates reasonable assurance, as not all changes require the same level of scrutiny. (D) is impractical and conflicts with the principle of reasonable assurance, which allows for differentiation based on risk.

The correct answer is B because applying the benefit of the doubt principle involves recognizing that while residual risk acceptance is happening informally in meetings, the lack of formal documentation should be addressed. An observation is appropriate to encourage formalizing the process without issuing a nonconformity. Option A is incorrect because issuing a nonconformity might be excessive, considering that the process is being followed informally. Option C is incorrect because this does not represent a critical gap. Option D is incorrect because the issue should still be reported to encourage documentation.

The correct answer is C because accepting the plan conditionally ensures that progress is made while setting a clear requirement for defining measurable evaluation criteria within a reasonable timeframe. This approach promotes continuous improvement without delaying the initial implementation. Option A is incorrect because deferring metrics development risks ineffective compliance monitoring. Option B is too rigid, as it might delay addressing the primary non-conformity. Option D could be useful but is not optimal for immediate compliance since pilot results might not be available within the required audit timeframe.

The correct answer is A because the nonconformity report should clearly document the organization’s failure to follow its own incident logging procedure and specify the relevant ISO/IEC 27001 control, such as A.16 (Information Security Incident Management). The report should recommend implementing the logging process fully. Option B is incorrect because informal handling of incidents does not comply with ISO/IEC 27001 requirements. Option C is incorrect because corrective action should not be delayed. Option D is incorrect because this is not an isolated anomaly but an ongoing issue that requires formal correction.

Correct Answer B. The lead auditor should recommend updating the risk assessment and vendor management policies (B) to reflect the new outsourcing relationship, as this ensures that all potential risks are properly evaluated and managed in accordance with ISO/IEC 27001 requirements. Option A (contract termination) is an extreme response and not aligned with the principles of continuous improvement. Option C (implementing an SLA) is important but secondary to the risk assessment update. Option D (auditing the third party) is valid, but the organization needs to update its internal processes first to define audit criteria and expectations.

Option B is correct because the first step in achieving PCI DSS compliance is understanding the current gaps through a formal assessment. A gap analysis will highlight which areas do not meet PCI DSS requirements, enabling the organization to prioritize remediation. Option A is impractical as suspension would cause business disruptions. Option C, while beneficial, does not address the lack of a compliance framework. Option D delays the necessary compliance actions, which could result in contractual or legal violations.

Option (C) is correct because the PECB Code of Ethics emphasizes confidentiality and respecting the audit scope. Even if the auditor learns of potential legal violations, their responsibility is to focus on findings relevant to the ISMS scope. The auditor should not disclose this unrelated information without proper authorization. Option (A) violates the confidentiality principle, as it bypasses the appropriate channels. Option (B) is incorrect as the information is out of scope. Option (D) would lead to a breach of confidentiality, as the auditor has no authority to engage directly with the legal team.

The correct answer is B. ISO/IEC 27001 Annex A.17 requires that the business continuity plan addresses information security continuity, including cyber-attack scenarios. Option B is correct because the BCP must explicitly cover how to maintain operations during such incidents. Option A is incorrect because the incident response plan is focused on containment and recovery, not continuity. Option C suggests an improvement but does not address the non-conformity. Option D is a valid recommendation but does not focus on the immediate compliance issue.