Auditor competence is a combination of knowledge and skills. Which two of the following activities are predominately related to "knowledge"? (Choose two.)
Answer(s): B,D
Designing a checklist: This activity requires knowledge of the audit process, the specific standards being assessed, and the areas that need to be examined during the audit. It involves understanding what criteria and processes are relevant to the audit and how to structure questions and topics to evaluate compliance.Determining what evidence to gather: This also requires knowledge because the auditor must understand what types of evidence are necessary to assess whether the organization is conforming to the required standards. Knowledge of the audit criteria, risks, and control mechanisms is crucial in determining the appropriate evidence to gather.
In the context of a third-party certification audit, confidentiality is an issue in an audit programme. Select two options which correctly state the function of confidentiality in an audit. (Choose two.)
Answer(s): D,E
Auditors should obtain the auditee's permission before using a camera or recording equipment: This is a standard practice to ensure that the auditee's sensitive information and internal processes are handled properly and with respect. By obtaining permission, auditors ensure that the auditee's confidentiality rights are maintained, and their privacy is respected during the audit process.Confidentiality is one of the principles of audit conduct: Confidentiality is one of the fundamental principles of auditing. It ensures that all audit findings, data, and processes are protected from unauthorized disclosure. Auditors are ethically bound to maintain the confidentiality of the information they gather during the audit.
During an opening meeting of a Stage 2 audit, the Managing Director of the client organization invites the audit team to view a new organization video lasting 45 minutes.Which two of the following responses should the audit team leader make? (Choose two.)
Answer(s): B,E
Advise the Managing Director that the audit team has to keep to the planned schedule: The audit must follow a predetermined schedule to ensure efficiency and focus on the objectives. The audit team should explain to the Managing Director that the audit cannot be delayed or extended for unrelated activities, like watching the video, as it may impact the audit process.Suggest that the last five minutes of the video could be viewed to provide a flavor of its content: If the Managing Director insists on sharing the video, the audit team can suggest viewing a brief segment (e.g., the last five minutes) to get an overview, which saves time and avoids disrupting the audit schedule. This allows the team to gather a sense of the content without losing focus on the audit objectives.
During discussions with the individual(s) managing the audit programme of a certification body, the Management System Representative of the client organization asks for a specific auditor for the certification audit.Select two of the following options for how the individual(s) managing the audit programme should respond. (Choose two.)
Answer(s): C,D
Advise the Management System Representative that the audit team selection is a decision that the audit programme manager needs to make based on the resources available: The selection of auditors is generally the responsibility of the audit programme manager, who must consider factors such as the available resources, auditor competence, and the audit's objectives. The client cannot dictate the choice of specific auditors, although their preferences may be taken into account.State that his request will be considered but may not be taken up: It's appropriate to acknowledge the request and assure the client that their preferences will be considered, but the final decision about auditor selection rests with the audit programme manager. This response keeps the process transparent while not guaranteeing that the request will be honored.
When an organization needs to determine the resources required for the internal audit programme, which one of the following issues does not impact on the achievement of its intended results?
Answer(s): B
Access by the audit program manager to the competence records of the Information Security Management System manager: This does not directly impact the achievement of the intended results of the internal audit program. The competence of the auditors is important, but the competence records of the ISMS manager are not relevant to the audit program’s resources or effectiveness. The audit program manager needs to ensure auditors are competent, but not necessarily have access to the ISMS manager’s competence records.
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