ISO/IEC 27001 Lead Auditor ISO-IEC-27001-Lead-Auditor Exam Questions
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Scenario 4
SendPay is a financial services company specializing in global money transfers through a network of agents and institutions. As a new company in the market, SendPay aims to deliver top-quality services with its fee-free digital platform, launched last year, enabling clients to send and receive money anytime via smartphones and laptops. At that time, SendPay outsourced software operations to an external team, which also managed the company ' s technology infrastructure.
Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year.
During the audit, the auditors focused on reviewing SendPay’s outsourced operations, specifically looking at the software development and technology infrastructure maintenance handled by the outsourced company. They followed a structured approach, which included reviewing and evaluating SendPay’s processes for monitoring the quality of these outsourced operations. This included verifying if the company met its contractual obligations, ensuring proper governance procedures for engaging outsourced entities, and assessing SendPay’s plans in case of expected or unexpected termination of outsourcing agreements.
However, the auditors subtly noted that SendPay’s protocols did not fully address contingencies for unanticipated cancellations of outsourcing agreements. Additionally, a technical expert appointed by SendPay assisted the auditors, providing specific knowledge and expertise related to the outsourced operations being audited.
The audit team calculated the number of training hours employees received on ISMS to ensure alignment with established objectives. They also computed the average resolution time of information security incidents based on a sample taken during the audit, which provided valuable insights into SendPay’s incident management practices. In addition, the auditors evaluated the reliability of the evidence collected during the audit. They considered several factors influencing the reliability of audit evidence. For example, evidence from surveillance cameras provided more objective proof compared to photos. Timing also played a crucial role in reliability, with mechanisms like transaction recording enhancing the credibility of the evidence.
SendPay uses cloud-based platforms to make its operations more efficient and scalable. However, during the audit, the auditors did not request SendPay to provide an inventory of their cloud activities due to resource limitations, relying instead on SendPay’s representations.
Question
Based on Scenario 4, is the involvement of all the parties acceptable during the auditing of the outsourced operations?
Correct Answer: A
The involvement of all the parties described in Scenario 4 is acceptable and aligns with ISO 19011:2018 guidance on auditing management systems, making option A the correct answer. ISO 19011 recognizes that audits may involve different participants beyond the audit team, including technical experts, guides, observers, and representatives of the auditee, provided their roles are clearly defined and managed.
In this scenario, a technical expert appointed by SendPay assisted the auditors by providing specific knowledge and expertise related to the outsourced software operations and technology infrastructure. This is explicitly permitted under ISO 19011, which allows the use of technical experts when specialized knowledge is required that the auditors themselves may not fully possess. The technical expert’s role is to support the audit team with subject-matter expertise, not to influence audit conclusions or replace auditor judgment.
Option B is incorrect because ISO 19011 does not prohibit the involvement of technical experts. On the contrary, their involvement is encouraged when auditing complex or highly technical areas, such as outsourced IT operations and cloud-based services. Option C is also incorrect because limiting participation to observers would not provide the auditors with the necessary technical insight to effectively evaluate outsourced operations.
As long as the audit team leader maintains control of the audit process and ensures independence and objectivity, the involvement of auditors, auditee representatives, and technical experts is appropriate. Therefore, the involvement of all the parties in this audit is acceptable under ISO auditing principles.
An auditor of organisation A performs an audit of supplier B. Which two of the following actions is likely to represent a breach of confidentiality by the auditor after having identified findings in B ' s information security management system?
Correct Answer: A, D
According to the PECB Candidate Handbook1, one of the principles of auditing is confidentiality, which means that auditors should respect the confidentiality of information obtained during the audit and not disclose it to unauthorized parties. The handbook also states that auditors should only report audit results to those who have a legitimate need to know, such as the client, the auditee, and the certification body. Therefore, sharing the findings with other relevant managers in A or B’s other customers would be a breach of confidentiality, as they are not directly involved in the audit process or the information security management system of B. Sharing the findings with B’s Information Security Manager or other relevant managers in B would be appropriate, as they are part of the auditee organization and responsible for the implementation and improvement of the ISMS. Sharing the findings with A’s supplier evaluation team or B’s certification body would also be acceptable, as they have a legitimate need to know the audit results for the purpose of supplier selection or certification, respectively. References: 1: PECB Candidate Handbook - ISO 27001 Lead Auditor, pages 7-8.
Based on the identified nonconformities. Company A established action plans that included the detected nonconformities, the root causes, and a general statement regarding each action that would be taken. Is this acceptable?
Correct Answer: B
The auditee is required to submit action plans that include detailed information on how every corrective action will be implemented. General statements are not sufficient; the action plans must specify the corrective actions in detail to ensure that the root causes of the nonconformities are addressed effectively.
Based on the identified nonconformities. Company A established action plans that included the detected nonconformities, the root causes, and a general statement regarding each action that would be taken. Is this acceptable?
Correct Answer: B
The auditee is required to submit action plans that include detailed information on how every corrective action will be implemented. General statements are not sufficient; the action plans must specify the corrective actions in detail to ensure that the root causes of the nonconformities are addressed effectively.
The auditor discovered that two out of 15 employees of the IT Department have not received adequate information security training. What does this represent?
Correct Answer: A
This scenario represents an " audit finding. " An audit finding refers to results that indicate a deviation from the expected performance or standards. Discovering that two employees have not received the required training is an audit finding indicating noncompliance with the organization ' s training requirements.