PECB ISO/IEC 27001 Lead Auditor ISO-IEC-27001-Lead-Auditor Exam Questions

You ask the IT Manager why the organisation still uses the mobile app while personal data

encryption and pseudonymisation tests failed. Also, whether the Service Manager is authorised to approve the test.

The IT Manager explains the test results should be approved by him according to the software security management procedure. The reason why the encryption and pseudonymisation functions failed is that these functions heavily slowed down the system and service performance. An extra 150% of resources are needed to cover this. The Service Manager agreed that access control is good enough and acceptable. That's why the Service Manager signed the approval.

You are preparing the audit findings. Select the correct option.

There is a nonconformity (NC). The organisation and developer do not perform acceptance tests. (Relevant to clause 8.1, control A.8.29)

Scenario 8: EsBank provides banking and financial solutions to the Estonian banking sector since September 2010. The company has a network of 30 branches with over 100 ATMs across the country.

Operating in a highly regulated industry, EsBank must comply with many laws and regulations regarding the security and privacy of data. They need to manage information security across their operations by implementing technical and nontechnical controls. EsBank decided to implement an ISMS based on ISO/IEC 27001 because it provided better security, more risk control, and compliance with key requirements of laws and regulations.

Nine months after the successful implementation of the ISMS, EsBank decided to pursue certification of their ISMS by an independent certification body against ISO/IEC 27001 .The certification audit included all of EsBank's systems, processes, and technologies.

The stage 1 and stage 2 audits were conducted jointly and several nonconformities were detected. The first nonconformity was related to EsBank's labeling of information. The company had an information classification scheme but there was no information labeling procedure. As a result, documents requiring the same level of protection would be labeled differently (sometimes as confidential, other times sensitive).

Considering that all the documents were also stored electronically, the nonconformity also impacted media handling. The audit team used sampling and concluded that 50 of 200 removable media stored sensitive information mistakenly classified as confidential. According to the information classification scheme, confidential information is allowed to be stored in removable media, whereas storing sensitive information is strictly prohibited. This marked the other nonconformity.

They drafted the nonconformity report and discussed the audit conclusions with EsBank's representatives, who agreed to submit an action plan for the detected nonconformities within two months.

EsBank accepted the audit team leader's proposed solution. They resolved the nonconformities by drafting a procedure for information labeling based on the classification scheme for both physical and electronic formats. The removable media procedure was also updated based on this procedure.

Two weeks after the audit completion, EsBank submitted a general action plan. There, they addressed the detected nonconformities and the corrective actions taken, but did not include any details on systems, controls, or operations impacted. The audit team evaluated the action plan and concluded that it would resolve the nonconformities. Yet, EsBank received an unfavorable recommendation for certification.

Based on the scenario above, answer the following question:

Based on scenario 8, EsBank submitted a general action plan. Is this acceptable?

Scenario 4: SendPay is a financial company that provides its services through a network of agents and financial institutions. One of their main services is transferring money worldwide. SendPay, as a new company, seeks to offer top quality services to its clients. Since the company offers international transactions, it requires from their clients to provide personal information, such as their identity, the reason for the transactions, and other details that might be needed to complete the transaction. Therefore, SendPay has implemented security measures to protect their clients' information, including detecting, investigating, and responding to any information security threats that may emerge. Their commitment to offering secure services was also reflected during the ISMS implementation where the company invested a lot of time and resources.

Last year, SendPay unveiled their digital platform that allows money transactions through electronic devices, such as smartphones or laptops, without requiring an additional fee. Through this platform, SendPay's clients can send and receive money from anywhere and at any time. The digital platform helped SendPay to simplify the company's operations and further expand its business. At the time, SendPay was outsourcing its software operations, hence the project was completed by the software development team of the outsourced company. The same team was also responsible for maintaining the technology infrastructure of SendPay.

Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year. They contracted a certification body that fit their criteria. Soon after, the certification body appointed a team of four auditors to audit SendPay's ISMS.

During the audit, among others, the following situations were observed:

1.The outsourced software company had terminated the contract with SendPay without prior notice. As a result, SendPay was unable to immediately bring the services back in-house and its operations were disrupted for five days. The auditors requested from SendPay's representatives to provide evidence that they have a plan to follow in cases of contract terminations. The representatives did not provide any documentary evidence but during an interview, they told the auditors that the top management of SendPay had identified two other software development companies that could provide services immediately if similar situations happen again.

2.There was no evidence available regarding the monitoring of the activities that were outsourced to the software development company. Once again, the representatives of SendPay told the auditors that they regularly communicate with the software development company and that they are appropriately informed for any possible change that might occur.

3.There was no nonconformity found during the firewall testing. The auditors tested the firewall configuration in order to determine the level of security provided by

these services. They used a packet analyzer to test the firewall policies which enabled them to check the packets sent or received in real-time.

Based on this scenario, answer the following question:

Why could SendPay not restore their services back in-house after the contract termination? Refer to scenario 4.

An auditor is reviewing a company's financial transactions over the past year. They are using a technology that helps them detect unusual spending behaviors, such as repeated transactions just below the approval threshold, which could indicate fraudulent activity.

What technology is the auditor using in this case?

Which of the following statements regarding documented information in an organization's ISMS is incorrect?

Scenario 8: Tessa. Malik, and Michael are an audit team of independent and qualified experts in the field of security, compliance, and business planning and strategies. They are assigned to conduct a certification audit in Clastus, a large web design company. They have previously shown excellent work ethics, including impartiality and objectiveness, while conducting audits. This time, Clastus is positive that they will be one step ahead if they get certified against ISO/IEC 27001.

Tessa, the audit team leader, has expertise in auditing and a very successful background in IT-related issues, compliance, and governance. Malik has an organizational planning and risk management background. His expertise relies on the level of synthesis and analysis of an organization's security controls and its risk tolerance in accurately characterizing the risk level within an organization On the other hand, Michael is an expert in the practical security of controls assessment by following rigorous standardized programs.

After performing the required auditing activities, Tessa initiated an audit team meeting They analyzed one of Michael s findings to decide on the issue objectively and accurately. The issue Michael had encountered was a minor nonconformity in the organization's daily operations, which he believed was caused by one of the organization's IT technicians As such, Tessa met with the top management and told them who was responsible for the nonconformity after they inquired about the names of the persons responsible

To facilitate clarity and understanding, Tessa conducted the closing meeting on the last day of the audit. During this meeting, she presented the identified nonconformities to the Clastus management. However, Tessa received advice to avoid providing unnecessary evidence in the audit report for the Clastus certification audit, ensuring that the report remains concise and focused on the critical findings.

Based on the evidence examined, the audit team drafted the audit conclusions and decided that two areas of the organization must be audited before the certification can be granted. These decisions were later presented to the auditee, who did not accept the findings and proposed to provide additional information. Despite the auditee's comments, the auditors, having already decided on the certification recommendation, did not accept the additional information. The auditee's top management insisted that the audit conclusions did not represent reality, but the audit team remained firm in their decision.

Based on the scenario above, answer the following question:

What must Tessa do regarding the presentation of nonconformities during the closing meeting?

Which two of the following options do not participate in a first-party audit?