PECB ISO-IEC-27001-Lead-Auditor Exam With Confidence Using Practice Dumps

A document review is a process of examining the documented information related to the management system before the on-site audit activities. The purpose of a document review is to: 12

Determine the conformity of the management system, as far as documented, with audit criteria, i.e., to check whether the documents are consistent, complete, and compliant with the requirements of ISO/IEC 27001 and any other applicable standards or regulations.

Gather information to support the on-site audit activities, i.e., to identify the scope, objectives, processes, controls, risks, and opportunities of the management system, and to plan the audit methods, techniques, and resources accordingly.

The other statements are not accurate, because:

A document review does not reveal or decide about the conformity or nonconformity of the management system as a whole, but only of the documented information. The conformity or nonconformity of the management system is determined by the on-site audit activities, which include interviews, observations, and tests12

A document review does not gather evidence or findings to support the audit report or process, but information to support the on-site audit activities. The evidence or findings are collected during the on-site audit activities, which are then documented and reported12

A document review does not detect any nonconformity of the management system, if documented, but determines the conformity of the documented information. The nonconformity of the management system is detected by the on-site audit activities, which evaluate the performance and effectiveness of the management system12

A document review does not identify information to support the audit plan, but gathers information to support the on-site audit activities. The audit plan is prepared before the document review, based on the audit scope, objectives, criteria, and program. The document review is part of the audit plan implementation12

The three Annex A controls that you would expect the auditee to have implemented when you conduct the follow-up audit are:

B. 5.13 Labelling of information

E. 5.34 Privacy and protection of personal identifiable information (PII)

G. 6.3 Information security awareness, education, and training

B. This control requires the organisation to label information assets in accordance with the information classification scheme, and to handle them accordingly12. This control is relevant for the auditee because it could help them to avoid misaddressing labels and sending parcels to wrong destinations, which could compromise the confidentiality, integrity, and availability of the information assets. By labelling the information assets correctly, the auditee could also ensure that they are delivered to the intended recipients and that they are protected from unauthorized access, use, or disclosure.

E. This control requires the organisation to protect the privacy and the rights of individuals whose personal identifiable information (PII) is processed by the organisation, and to comply with the applicable legal and contractual obligations13. This control is relevant for the auditee because it could help them to prevent the unauthorized use of residents’ personal data by a supplier, which could violate the privacy and the rights of the residents and their family members, and expose the auditee to legal and reputational risks. By protecting the PII of the residents and their family members, the auditee could also enhance their trust and satisfaction, and avoid complaints and disputes.

G. This control requires the organisation to ensure that all employees and contractors are aware of the information security policy, their roles and responsibilities, and the relevant information security procedures and controls14. This control is relevant for the auditee because it could help them to improve the information security culture and behaviour of their staff, and to reduce the human errors and negligence that could lead to information security incidents. By providing information security awareness, education, and training to their staff, the auditee could also increase their competence and performance, and ensure the effectiveness and efficiency of the information security processes and controls.

According to ISO 27001:2022 clause 4.3, the organisation shall determine the scope of the information security management system (ISMS) by considering the internal and external issues, the requirements of interested parties, and the interfaces and dependencies with other organisations12

In this case, the ISMS scope covers an outsourced data center that hosts the artificial intelligence (AI) cloud server for healthcare monitoring and analysis of the residents’ data. Therefore, the audit evidence you need to find to verify the scope of the ISMS should include:

The auditee has identified the governmental authorities’ needs and expectations on healthcare services and patient data handling. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to comply with the relevant laws and regulations regarding the quality, safety, and privacy of healthcare services and patient data12

The auditee has identified the resident’s needs and expectations on how they should protect the resident’s personal data. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to ensure the confidentiality, integrity, and availability of the resident’s personal data that is collected, processed, and stored by the electronic wristband and the AI cloud server12

The IT service agreement with the data center where the artificial intelligence (AI) cloud server is located. This is an interface and dependency with another organisation that affects the ISMS scope, as the auditee has to control the externally provided processes, products, and services that are relevant to the ISMS, and to implement appropriate contractual requirements related to information security12

The following options are not relevant or sufficient for verifying the scope of the ISMS:

The auditee has identified the resident’s needs and expectations on the facility and environmental safety. This is an external issue and an interested party requirement, but it does not affect the ISMS scope, as it is not related to information security12

The auditee has ISO 9001 certification. This is an indication of the auditee’s quality management system, but it does not verify the scope of the ISMS, as it is not related to information security12

The auditee has identified the resident’s needs and expectations on the comfort facility, medical professional’s competence, and clean environment. These are external issues and interested party requirements, but they do not affect the ISMS scope, as they are not related to information security12

The auditee has identified the resident’s needs and expectations on healthcare medical treatment services. These are external issues and interested party requirements, but they do not verify the scope of the ISMS, as they are not specific to information security12

The auditee is considering the purchase of a healthcare monitoring app from an external software company. This is a potential change that may affect the ISMS scope in the future, but it does not verify the current scope of the ISMS, as it is not yet implemented or controlled12