QUESTION: 45

What is the main difference between qualitative and quantitative evidence?

Qualitative evidence originates from the analysis of a sample related to determining the audit criteria, while quantitative evidence originates from the analysis of unquantifiable information
Qualitative evidence focuses on evaluating if a process or control complies with the audit criteria, while quantitative evidence aims to determine if a process in operation is functional and effective
Qualitative evidence is used to make estimations about the whole population, while quantitative evidence focuses on evaluating if a process complies with standard requirements

Answer(s): B

Explanation:

Qualitative evidence involves subjective evaluation, focusing on the quality or nature of the process, such as whether a control is in place, if it is functioning properly, or if it meets certain criteria. It generally addresses aspects like effectiveness, compliance, or adherence to processes. Quantitative evidence, on the other hand, involves measurable data used to assess whether a process is functioning as expected and achieving desired outcomes, often in terms of performance, efficiency, or effectiveness. Quantitative evidence typically uses numbers, metrics, and statistics to support findings.

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QUESTION: 46

Finnco, a subsidiary of a certification body, provided ISMS consultancy services to an organization. Considering this scenario, when can the certification body certify the organization?

There is no time constraint in such a situation
The certification body can certify the organization immediately after consulting services end
If a minimum period of two years has passed since the last consulting activities

Answer(s): C

Explanation:

To avoid conflicts of interest and ensure the impartiality of the certification process, ISO/IEC 27001 requires that a minimum period of two years must pass after consulting services have been provided by a subsidiary or affiliate of the certification body (in this case, Finnco) before the certification body can certify the organization. This rule is designed to prevent any undue influence or bias from the consulting services provided and to maintain the integrity of the certification process.

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QUESTION: 47

How does predictive analytics help auditors in identifying potential risks?

By providing real-lime analysis of financial data
By predicting future outcomes based on trends
By organizing data from various sources

Answer(s): B

Explanation:

Predictive analytics helps auditors by analyzing historical data to identify trends and patterns, which can then be used to predict future outcomes. This allows auditors to anticipate potential risks before they occur, enabling them to focus on areas that might be more susceptible to issues in the future. By understanding these trends, auditors can proactively address potential risks, improving the effectiveness of the audit process.

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QUESTION: 48

Scenario: Cyber ACrypt is a cybersecurity company that provides endpoint protection by offering anti-malware and device security, asset life cycle management, and device encryption. To validate its ISMS against ISO/IEC 27001 and demonstrate its commitment to cybersecurity excellence, the company underwent a meticulous audit process led by John, the appointed audit team leader.

Upon accepting the audit mandate, John promptly organized a meeting to outline the audit plan and team roles. This phase was crucial for aligning the team with the audit's objectives and scope. However, the initial presentation to Cyber ACrypt's staff revealed a significant gap in understanding the audit's scope and objectives, indicating potential readiness challenges within the company.

As the stage 1 audit commenced, the team prepared for on-site activities. They reviewed Cyber ACrypt's documented information, including the information security policy and operational procedures ensuring each piece conformed to and was standardized in format with author identification, production date, version number, and approval date. Additionally, the audit team ensured that each document contained the information required by the respective clause of the standard. This phase revealed that a detailed audit of the documentation describing task execution was unnecessary, streamlining the process and focusing the team's efforts on critical areas. During the phase of conducting on-site activities, the team evaluated management responsibility for the Cyber ACrypt's policies. This thorough examination aimed to ascertain continual improvement and adherence to ISMS requirements. Subsequently, in the document, the stage 1 audit outputs phase, the audit team meticulously documented their findings, underscoring their conclusions regarding the fulfillment of the stage 1 objectives. This documentation was vital for the audit team and Cyber ACrypt to understand the preliminary audit outcomes and areas requiring attention.

The audit team also decided to conduct interviews with key interested parties. This decision was motivated by the objective of collecting robust audit evidence to validate the management system's compliance with ISO/IEC 27001 requirements. Engaging with interested parties across various levels of Cyber ACrypt provided the audit team with invaluable perspectives and an understanding of the ISMS's implementation and effectiveness.

The stage 1 audit report unveiled critical areas of concern. The Statement of Applicability (SoA) and the ISMS policy were found to be lacking in several respects, including insufficient risk assessment, inadequate access controls, and lack of regular policy reviews. This prompted Cyber ACrypt to take immediate action to address these shortcomings. Their prompt response and modifications to the strategic documents reflected a strong commitment to achieving compliance.

The technical expertise introduced to bridge the audit team's cybersecurity knowledge gap played a pivotal role in identifying shortcomings in the risk assessment methodology and reviewing network architecture. This included evaluating firewalls, intrusion detection and prevention systems, and other network security measures, as well as assessing how Cyber ACrypt detects, responds to, and recovers from external and internal threats. Under John's supervision, the technical expert communicated the audit findings to the representatives of Cyber ACrypt. However, the audit team observed that the expert's objectivity might have been compromised due to receiving consultancy fees from the auditee. Considering the behavior of the technical expert during the audit, the audit team leader decided to discuss this concern with the certification body.

Based on the scenario above, answer the following question:

Which activity was NOT conducted correctly by the audit team during stage 1 audit?

Preparing for on-site activities by including the information security policy and operational procedures for review
Conducting on-site activities by evaluating management responsibility for the Cyber ACrypt's policies
Documenting the stage 1 audit outputs by failing to include the relevant evidence or supporting documentation

Answer(s): C

Explanation:

In the scenario, the audit team meticulously documented their findings and ensured that the stage 1 audit outputs were thorough. The issue mentioned in the question - "failing to include the relevant evidence or supporting documentation" - suggests a failure in this phase of the audit. However, the scenario indicates that the audit team did document their findings regarding the fulfillment of the stage 1 objectives and included critical findings. Therefore, the documentation process itself was conducted correctly. If the audit team had failed to include relevant evidence or supporting documentation, this would have been a mistake in documenting the audit outputs.

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QUESTION: 45

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QUESTION: 46

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QUESTION: 47

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QUESTION: 48

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