Exam ISO-IEC-27001-Lead-Auditor Topic 2 Question 157 Discussion
Actual exam question for PECB's ISO-IEC-27001-Lead-Auditor exam
Question #: 157
Topic #: 2
Question #: 157
Topic #: 2
Scenario 6
Sinvestment is an insurance provider that offers a wide range of coverage options, including home, commercial, and life insurance. Originally established in North California, the company has expanded its operations to other locations, including Europe and Africa. In addition to its growth, Sinvestment is committed to complying with laws and regulations applicable to its industry and preventing any information security incident. They have implemented an information security management system (ISMS) based on ISO
/IEC 27001 and have applied for certification.
A team of auditors was assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment, they started the audit activities. For the activities of the stage 1 audit, it was decided that they would be performed on site, except the review of documented information, which took place remotely, as requested by Sinvestment.
The audit team started the stage 1 audit by reviewing the documentation required, including the declaration of the ISMS scope, information security policies, and internal audit reports. The evaluation of the documented information was based on the content and procedure for managing the documented information.
In addition, the auditors found out that the documentation related to information security training and awareness programs was incomplete and lacked essential details. When asked, Sinvestment's top management stated that the company has provided information security training sessions to all employees.
The stage 2 audit was conducted three weeks after the stage 1 audit. The audit team observed that the marketing department (not included in the audit scope) had no procedures to control employees' access rights.
Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the company's information security policy, the issue was included in the audit report.
Question
Based on Scenario 6, what methods did the audit team use for evidence collection and analysis during the audit of Sinvestment's ISMS?
Sinvestment is an insurance provider that offers a wide range of coverage options, including home, commercial, and life insurance. Originally established in North California, the company has expanded its operations to other locations, including Europe and Africa. In addition to its growth, Sinvestment is committed to complying with laws and regulations applicable to its industry and preventing any information security incident. They have implemented an information security management system (ISMS) based on ISO
/IEC 27001 and have applied for certification.
A team of auditors was assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment, they started the audit activities. For the activities of the stage 1 audit, it was decided that they would be performed on site, except the review of documented information, which took place remotely, as requested by Sinvestment.
The audit team started the stage 1 audit by reviewing the documentation required, including the declaration of the ISMS scope, information security policies, and internal audit reports. The evaluation of the documented information was based on the content and procedure for managing the documented information.
In addition, the auditors found out that the documentation related to information security training and awareness programs was incomplete and lacked essential details. When asked, Sinvestment's top management stated that the company has provided information security training sessions to all employees.
The stage 2 audit was conducted three weeks after the stage 1 audit. The audit team observed that the marketing department (not included in the audit scope) had no procedures to control employees' access rights.
Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the company's information security policy, the issue was included in the audit report.
Question
Based on Scenario 6, what methods did the audit team use for evidence collection and analysis during the audit of Sinvestment's ISMS?
Suggested Answer: A Vote an answer
The audit team used documented information review and observation for evidence collection and evaluation for analysis, making option A the correct answer. This aligns directly with ISO 19011, which identifies document review, observation, and evaluation as primary audit techniques.
In the scenario, auditors reviewed ISMS documentation remotely, observed departmental practices during stage 2, and evaluated whether controls such as access rights management and training documentation met ISO/IEC 27001 requirements. These activities constitute classic evidence-based auditing methods.
Option B is incorrect because there is no indication that technical verification or extensive sampling of systems occurred. Option C is incorrect because the audit did not rely solely on interviews, nor was trend analysis the primary analytical method used. Interviews were supplementary, not exclusive.
ISO auditing requires auditors to triangulate evidence using multiple methods. The combination of document review, observation, and evaluative analysis reflects appropriate and recommended audit practice.
In the scenario, auditors reviewed ISMS documentation remotely, observed departmental practices during stage 2, and evaluated whether controls such as access rights management and training documentation met ISO/IEC 27001 requirements. These activities constitute classic evidence-based auditing methods.
Option B is incorrect because there is no indication that technical verification or extensive sampling of systems occurred. Option C is incorrect because the audit did not rely solely on interviews, nor was trend analysis the primary analytical method used. Interviews were supplementary, not exclusive.
ISO auditing requires auditors to triangulate evidence using multiple methods. The combination of document review, observation, and evaluative analysis reflects appropriate and recommended audit practice.
by Xanthe at Jul 28, 2026, 12:07 AM
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