Q: 15
Scenario 8: SunDee is a biopharmaceutical firm headquartered in California, US. Renowned for its
pioneering work in the field of human therapeutics, SunDee places a strong emphasis on addressing
critical healthcare concerns, particularly in the domains of cardiovascular diseases, oncology, bone
health, and inflammation. SunDee has demonstrated its commitment to data security and integrity
by maintaining an effective information security management system (ISMS) based on ISO/IEC 27001
for the past two years.
In preparation for the recertification audit, SunDee conducted an internal audit. The company's top
management appointed Alex, who has actively managed the Compliance Department's day-to-day
operations for the last six months, as the internal auditor. With this dual role assignment, Alex is
tasked with conducting an audit that ensures compliance and provides valuable recommendations to
improve operational efficiency.
During the internal audit, a few nonconformities were identified. To address them comprehensively,
the company created action plans for each nonconformity, working closely with the audit team
leader.
SunDee's senior management conducted a comprehensive review of the ISMS to evaluate its
appropriateness, sufficiency, and efficiency. This was integrated into their regular management
meetings. Essential documents, including audit reports, action plans, and review outcomes, were
distributed to all members before the meeting. The agenda covered the status of previous review
actions, changes affecting the ISMS, feedback, stakeholder inputs, and opportunities for
improvement. Decisions and actions targeting ISMS improvements were made, with a significant role
played by the ISMS coordinator and the internal audit team in preparing follow-up action plans,
which were then approved by top management.
In response to the review outcomes, SunDee promptly implemented corrective actions,
strengthening its information security measures. Additionally, dashboard tools were introduced to
provide a high-level overview of key performance indicators essential for monitoring the
organization's information security management. These indicators included metrics on security
incidents, their costs, system vulnerability tests, nonconformity detection, and resolution times,
facilitating effective recording, reporting, and tracking of monitoring activities. Furthermore, SunDee
embarked on a comprehensive measurement process to assess the progress and outcomes of
ongoing projects, implementing extensive measures across all processes. The top management
determined that the individual responsible for the information, aside from owning the data that
contributes to the measures, would also be designated accountable for executing these
measurement activities.
Based on the scenario above, answer the following question:
Is Alex suitable for the position of internal auditor within the company?
Options
Discussion
C imo. For ISO/IEC 27001, internal auditors need independence from the activities they're auditing. If Alex managed Compliance recently, that's a conflict, even if he has the right skills. The standard leans toward full objectivity over recent operational involvement. Open to input if someone interprets the standard differently.
C is correct, not A. Auditors need to be independent from operational roles to avoid conflicts of interest for ISO 27001. Alex's recent involvement in Compliance creates a lack of independence. Seen similar trap options before.
C or B, does the recertification audit specifically require full independence from recent operational roles, or just a reasonable gap?
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