The audit lifecycle describes the ISO 19011 process for conducting an individual audit. Drag and drop the steps of the audit lifecycle into the correct sequence.
Question
Another auditor appointed by the certification body reviews the audit team leader’s working documents before the audit conclusions are finalized. According to good auditing practice, which statement is correct?
You are an experienced ISMS audit team leader. An auditor in training has approached you to ask you to clarify the different types of audits she may be required to undertake.
Match the following audit types to the descriptions.
To complete the table click on the blank section you want to complete so that It is highlighted In fed, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.
Question
An auditor is reviewing a company’s financial transactions over the past year. They are using a technology that helps them detect unusual spending behaviors, such as repeated transactions just below the approval threshold, which could indicate fraudulent activity.
What technology is the auditor using in this case?
Question
During a certification audit, the auditee proved to the auditor through documented information that it had conducted a risk assessment and had selected a number of controls to ensure information security. What should the auditor verify in this case?
Scenario 7: Webvue. headquartered in Japan, is a technology company specializing in the development, support, and maintenance of computer software. Webvue provides solutions across various technology fields and business sectors. Its flagship service is CloudWebvue, a comprehensive cloud computing platform offering storage, networking, and virtual computing services. Designed for both businesses and individual users. CloudWebvue is known for its flexibility, scalability, and reliability.
Webvue has decided to only include CloudWebvue in its ISO/IEC 27001 certification scope. Thus, the stage 1 and 2 audits were performed simultaneously Webvue takes pride in its strictness regarding asset confidentiality They protect the information stored in CloudWebvue by using appropriate cryptographic controls. Every piece of information of any classification level, whether for internal use. restricted, or confidential, is first encrypted with a unique corresponding hash and then stored in the cloud
The audit team comprised five persons Keith. Sean. Layla, Sam. and Tina. Keith, the most experienced auditor on the IT and information security auditing team, was the audit team leader. His responsibilities included planning the audit and managing the audit team. Sean and Layla were experienced in project planning, business analysis, and IT systems (hardware and application) Their tasks included audit planning according to Webvue’s internal systems and processes Sam and Tina, on the other hand, who had recently completed their education, were responsible for completing the day-to-day tasks while developing their audit skills
While verifying conformity to control 8.24 Use of cryptography of ISO/IEC 27001 Annex A through interviews with the relevant staff, the audit team found out that the cryptographic keys have been initially generated based on random bit generator (RBG) and other best practices for the generation of the cryptographic keys. After checking Webvue's cryptography policy, they concluded that the information obtained by the interviews was true. However, the cryptographic keys are still in use because the policy does not address the use and lifetime of cryptographic keys.
As later agreed upon between Webvue and the certification body, the audit team opted to conduct a virtual audit specifically focused on verifying conformity to control 8.11 Data Masking of ISO/IEC 27001 within Webvue, aligning with the certification scope and audit objectives. They examined the processes involved in protecting data within CloudWebvue. focusing on how the company adhered to its policies and regulatory standards. As part of this process. Keith, the audit team leader, took screenshot copies of relevant documents and cryptographic key management procedures to document and analyze the effectiveness of Webvue's practices.
Webvue uses generated test data for testing purposes. However, as determined by both the interview with the manager of the QA Department and the procedures used by this department, sometimes live system data are used. In such scenarios, large amounts of data are generated while producing more accurate results. The test data is protected and controlled, as verified by the simulation of the encryption process performed by Webvue's personnel during the audit
While interviewing the manager of the QA Department, Keith observed that employees in the Security Training Department were not following proper procedures, even though this department fell outside the audit scope. Despite the exclusion in the audit scope, the non conformity in the Security Training Department has potential implications for the processes within the audit scope, specifically impacting data security and cryptographic practices in CloudWebvue. Therefore, Keith incorporated this finding into the audit report and accordingly informed the auditee.
Based on the scenario above, answer the following question:
Question:
Based on Scenario 7, the audit team checked Webvue’s cryptography policy to obtain reasonable assurance of the information obtained during interviews. Which type of audit procedure has been used?
Scenario 5
CyberShielding Systems Inc. provides security services spanning the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. CyberShielding Systems Inc. has helped various companies secure their networks for two decades through advanced products and services. Having achieved a reputation in the information and network security sector, CyberShielding Systems Inc. decided to implement a security information management system (ISMS) based on ISO/IEC 27001 and obtain a certification to better secure its internal and customer assets and gain a competitive advantage.
The certification body initiated the process by selecting the audit team for CyberShielding Systems Inc.'s ISO/IEC 27001 certification. They provided the company with the name and background information of each audit member. However, upon review, CyberShielding Systems Inc. discovered that one of the auditors did not hold the security clearance required by them. Consequently, the company objected to the appointment of this auditor. Upon review, the certification body replaced the auditor in response to CyberShielding Systems Inc.'s objection.
As part of the audit process, CyberShielding Systems Inc.'s approach to risk and opportunity determination was assessed as a standalone activity. This involved examining the organization’s methods for identifying and managing risks and opportunities. The audit team’s core objectives encompassed providing assurance on the effectiveness of CyberShielding Systems Inc.'s risk and opportunity identification mechanisms and reviewing the organization's strategies for addressing these determined risks and opportunities. During this, the audit team also identified a risk due to a lack of oversight in the firewall configuration review process, where changes were implemented without proper approval, potentially exposing the company to vulnerabilities. This finding highlighted the need for stronger internal controls to prevent such issues.
The audit team accessed process descriptions and organizational charts to understand the main business processes and controls. They performed a limited analysis of the IT risks and controls because their access to the IT infrastructure and applications was limited by third-party service provider restrictions. However, the audit team stated that the risk of a significant defect occurring in CyberShielding’s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by questioning CyberShielding representatives on IT responsibilities, control effectiveness, and anti-malware measures. CyberShielding’s representatives provided sufficient and appropriate evidence to address all these questions.
Despite the agreement signed before the audit, which outlined the audit scope, criteria, and objectives, the audit was primarily focused on assessing conformity with established criteria and ensuring compliance with statutory and regulatory requirements.
Question
What kind of audit risk did the audit team identify? Refer to Scenario 5.
You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
The next step in your audit plan is to verify the information security on ABC's healthcare mobile app
development, support, and lifecycle process. During the audit, you learned the organization outsourced the
mobile app development to a professional software development company with CMMI Level 5, ITSM (ISO/IEC
20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certified. The IT Manager presented the software
security management procedure and summarised the process as follows:
The mobile app development shall adopt "security-by-design" and "security-by-default" principles, as a
minimum. The following security functions for personal data protection shall be available:
Access control.
Personal data encryption, i.e., Advanced Encryption Standard (AES) algorithm, key lengths: 256 bits; and
Personal data pseudonymization.
Vulnerability checked and no security backdoor
You sample the latest Mobile App Test report - details as follows:
You ask the IT Manager why the organisation still uses the mobile app while personal data
encryption and pseudonymization tests failed. Also, whether the Service Manager is authorized to
approve the test.
The IT Manager explains the test results should be approved by him according to the software
security management procedure. The reason why the encryption and pseudonymization functions
failed is that these functions heavily slowed down the system and service performance. An extra
150% of resources are needed to cover this. The Service Manager agreed that access control is
good enough and acceptable. That's why the Service Manager signed the approval.
You sample one of the medical staff's mobile and found that ABC's healthcare mobile app, version
1.01 is installed. You found that version 1.01 has no test record.
The IT Manager explains that because of frequent ransomware attacks, the outsourced mobile app
development company gave a free minor update on the tested software, performed an emergency
release of the updated software, and gave a verbal guarantee that there will be no impact on any
security functions. Based on his 20 years of information security experience, there is no need to re-
test.
You are preparing the audit findings Select two options that are correct.
An audit finding is the result of the evaluation of the collected audit evidence against audit criteria. Evaluate the following potential formats of audit evidence and select the two that are acceptable.
Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the
fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is
considered to be the ultimate media machine of 2021 which will give the best gaming experience to players. The console pack will include a pair of VR headset, two
games, and other gifts.
Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the
reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market. Besides being a very customer-oriented company, Knight
also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.
Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.
Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an
operational ISMS for over a year. The ISMS scope includes all departments of Knight, except Finance and HR departments.
Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze
every part of the system and the details of the incident.
The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their
accounts. However, after carefully investigating the incident, the IRT determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.
FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.
Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone
capturing the traffic can only see encrypted data.
Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of
the process were approved by the ISMS project manager who claimed that the level of risk after the implementation of new controls was in accordance with the
company's risk acceptance levels.
Based on this scenario, answer the following question:
Based on scenario 2, the ISMS project manager approved the results of risk assessment. Is this acceptable?
TESTED 24 Feb 2026
