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Which one option best describes the purpose of retaining documented information related to the Information Security Management System (ISMS) of an organisation?

company was founded in North Carolina, but have recently expanded in other locations, including Europe and

Africa.

Sinvestment is committed to complying with laws and regulations applicable to their industry and preventing

any information security incident. They have implemented an ISMS based on ISO/IEC 27001 and have

applied for ISO/IEC 27001 certification.

Two auditors were assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment. they started the audit activities. First, they reviewed the documentation required

by the standard, including the declaration of the ISMS scope, information security policies, and internal audits

reports. The review process was not easy because, although Sinvestment stated that they had a documentation

procedure in place, not all documents had the same format.

Then, the audit team conducted several interviews with Sinvestment's top management to understand their role

in the ISMS implementation. All activities of the stage 1 audit were performed remotely, except the review of

documented information, which took place on-site, as requested by Sinvestment.

During this stage, the auditors found out that there was no documentation related to information security

training and awareness program. When asked, Sinvestment's representatives stated that the company has

provided information security training sessions to all employees. Stage 1 audit gave the audit team a general

understanding of Sinvestment's operations and ISMS.

The stage 2 audit was conducted three weeks after stage 1 audit. The audit team observed that the marketing

department (which was not included in the audit scope) had no procedures in place to control employees’

access rights. Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was

included in the information security policy of the company, the issue was included in the audit report. In

addition, during stage 2 audit, the audit team observed that Sinvestment did not record logs of user activities.

The procedures of the company stated that "Logs recording user activities should be retained and regularly

reviewed," yet the company did not present any evidence of the implementation of such procedure.

During all audit activities, the auditors used observation, interviews, documented information review, analysis,

and technical verification to collect information and evidence. All the audit findings during stages 1 and 2

were analyzed and the audit team decided to issue a positive recommendation for certification.

During stage 1 audit, the audit team found out that Sinvestment did not have records on information security

training and awareness. What Sinvestment do in this case? Refer to scenario 6.

information technology infrastructure. It provides cybersecurity software, including endpoint security,

firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their

networks through advanced products and services. Having achieved reputation in the information and network

security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and

customer assets and gain competitive advantage.

Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid

Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The

audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a

large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete

the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The

audit team followed a risk-based auditing approach.

To gain an overview of the main business processes and controls, the audit team accessed process descriptions

and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because

their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk

that a significant defect could occur to Data Grid Inc.'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 asking the representatives of Data Grid Inc. the following questions:

•How are responsibilities for IT and IT controls defined and assigned?•How does Data Grid Inc. assess whether the controls have achieved the desired results?

•What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious

software?

•Are firewall-related controls implemented?

Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.

The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management.

Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised

between Data Grid Inc. and the certification body in regards to audit objectives. Data Grid Inc. stated that even

though the audit objectives included the identification of areas for potential improvement, the audit team did

not provide such information.

Based on this scenario, answer the following question:

Based on scenario 5, the audit team assessed the ISMS as a whole, rather than assessing the effectiveness and

conformity of each process. Is this acceptable?