ISO-IEC-27001-Lead-Auditor Exam Dumps - PECB ISO 27001 Questions and Answers

Question # 124

Information Security is a matter of building and maintaining ________ .

Options:

Confidentiality

Trust

Protection

Firewalls

Buy Now

Question # 125

Scenario 6: Cyber ACrypt is a cybersecurity company that provides endpoint protection by offering anti-malware and device security, asset life cycle management, and device encryption. To validate its ISMS against ISO/IEC 27001 and demonstrate its commitment to cybersecurity excellence, the company underwent a meticulous audit process led by John, the appointed audit team leader.

Upon accepting the audit mandate, John promptly organized a meeting to outline the audit plan and team roles This phase was crucial for aligning the team with the audit's objectives and scope However, the initial presentation to Cyber ACrypt’s staff revealed a significant gap in understanding the audit's scope and objectives, indicating potential readiness challenges within the company

As the stage 1 audit commenced, the team prepared for on-site activities. They reviewed Cyber ACrypt's documented information, including the information security policy and operational procedures ensuring each piece conformed to and was standardized in format with author identification, production date, version number, and approval date Additionally, the audit team ensured that each document contained the information required by the respective clause of the standard This phase revealed that a detailed audit of the documentation describing task execution was unnecessary, streamlining the process and focusing the team's efforts on critical areas During the phase of conducting on-site activities, the team evaluated management responsibility for the Cyber Acrypt's policies This thorough examination aimed to ascertain continual improvement and adherence to ISMS requirements Subsequently, in the document, the stage 1 audit outputs phase, the audit team meticulously documented their findings, underscoring their conclusions regarding the fulfillment of the stage 1 objectives. This documentation was vital for the audit team and Cyber ACrypt to understand the preliminary audit outcomes and areas requiring attention.

The audit team also decided to conduct interviews with key interested parties. This decision was motivated by the objective of collecting robust audit evidence to validate the management system’s compliance with ISO/IEC 27001 requirements. Engaging with interested parties across various levels of Cyber ACrypt provided the audit team with invaluable perspectives and an understanding of the ISMS's implementation and effectiveness.

The stage 1 audit report unveiled critical areas of concern. The Statement of Applicability (SoA) and the ISMS policy were found to be lacking in several respects, including insufficient risk assessment, inadequate access controls, and lack of regular policy reviews. This prompted Cyber ACrypt to take immediate action to address these shortcomings. Their prompt response and modifications to the strategic documents reflected a strong commitment to achieving compliance.

The technical expertise introduced to bridge the audit team's cybersecurity knowledge gap played a pivotal role in identifying shortcomings in the risk assessment methodology and reviewing network architecture. This included evaluating firewalls, intrusion detection and prevention systems, and other network security measures, as well as assessing how Cyber ACrypt detects, responds to, and recovers from external and internal threats. Under John's supervision, the technical expert communicated the audit findings to the representatives of Cyber ACrypt. However, the audit team observed that the expert s objectivity might have been compromised due to receiving consultancy fees from the auditee. Considering the behavior of the technical expert during the audit, the audit team leader decided to discuss this concern with the certification body.

Based on the scenario above, answer the following question:

Question:

Based on Scenario 6, is the audit team leader’s decision regarding the technical expert’s behavior acceptable?

Options:

No, the audit team leader should have reported the issue directly to the top management instead

No, questioning the expert’s objectivity is not a valid reason for the audit team leader to discuss the matter with the certification body

Yes, if the auditor is skeptical about the technical expert’s objectivity, he must discuss his concerns with the certification body

Buy Now

Question # 126

Scenario 1: Fintive is a distinguished security provider for online payments and protection solutions. Founded in 1999 by Thomas Fin in San Jose, California, Fintive

offers services to companies that operate online and want to improve their information security, prevent fraud, and protect user information such as PII. Fintive centers

its decision-making and operating process based on previous cases. They gather customer data, classify them depending on the case, and analyze them. The company

needed a large number of employees to be able to conduct such complex analyses. After some years, however, the technology that assists in conducting such analyses

advanced as well. Now, Fintive is planning on using a modern tool, a chatbot, to achieve pattern analyses toward preventing fraud in real-time. This tool would also be

used to assist in improving customer service.

This initial idea was communicated to the software development team, who supported it and were assigned to work on this project. They began integrating the chatbot

on their existing system. In addition, the team set an objective regarding the chatbot which was to answer 85% of all chat queries.

After the successful integration of the chatbot, the company immediately released it to their customers for use. The chatbot, however, appeared to have some issues.

Due to insufficient testing and lack of samples provided to the chatbot during the training phase, in which it was supposed "to learn" the queries pattern, the chatbot

failed to address user queries and provide the right answers. Furthermore, the chatbot sent random files to users when it received invalid inputs such as odd patterns

of dots and special characters. Therefore, the chatbot was unable to properly answer customer queries and the traditional customer support was overwhelmed with

chat queries and thus was unable to help customers with their requests.

Consequently, Fintive established a software development policy. This policy specified that whether the software is developed in-house or outsourced, it will undergo a

black box testing prior to its implementation on operational systems.

According to scenario 1, the chatbot sent random files to users when it received invalid inputs. What impact might that lead to?

Options:

Inability to provide service

Loss of reputation

Leak of confidential information

Buy Now

Question # 127

You are an experience ISMS audit team leader carrying out a third-party certification audit of an organization specialising in the secure disposal of confidential documents and removable media. Both documents and media are shredded in military grade devices which make it impossible to reconstruct the original.

The audit has gone well and you are just about to start to write the audit report, 30 minutes before the closing meeting. At

this point one of the organization's employees knocks on your door and asks if they can speak to you. They tell you that when things get busy her manager tells her to use a lower grade industrial shredder instead as the organisation has more of these and they operate faster. You were not informed about the existence or use of these machines by the auditee.

Select three options for how you should respond to this information.

Options:

Advise the individual managing the audit programme of any recommendation by you to conduct a further auditprior to certification

Cancel the production of the audit report and instead review the organization's contracts with its clients to determine whether they have permitted the use of lower grade machines

Consider the need for a subsequent audit within 4 weeks based on the additional information that has come to light

Do nothing. All audits are based on a sample and the sample you took did not include a planned review of the lower grade machines

Extend the certification audit duration to create additional time to audit the use of the lower grade machines

Raise a nonconformity against 8.1 Operational Planning and Control as the organization has not been open about its processes

Verify with the auditee that lower grade machines are used in certain circumstances

Buy Now

Answer:

A, C, G

Explanation:

According to ISO/IEC 27001:2022 clause 8.1, the organization must plan, implement and control the processes needed to meet the information security requirements, and to implement the actions determined in clause 6.1. The organization must also ensure that the outsourced processes are controlled or influenced. According to control A.5.24, the organization must establish and maintain an information security incident management process that includes reporting information security events and weaknesses. Therefore, the use of lower grade machines for the secure disposal of confidential documents and media could pose a significant information security risk and a potential breach of contract with the clients. The auditor should respond to this information by:

A. Advising the individual managing the audit programme of any recommendation by you to conduct a further audit prior to certification. This is in accordance with ISO/IEC 27006:2022 clause 7.4.3, which states that the audit team leader shall report to the certification body any situation that may significantly affect the audit conclusions or the certification decision, and propose any necessary changes to the audit plan.

C. Considering the need for a subsequent audit within 4 weeks based on the additional information that has come to light. This is in accordance with ISO/IEC 27006:2022 clause 7.5.2, which states that the audit team leader shall review the audit findings and any other appropriate information collected during the audit to determine the audit conclusions, and to identify any need for a subsequent audit.

G. Verifying with the auditee that lower grade machines are used in certain circumstances. This is in accordance with ISO/IEC 27006:2022 clause 7.4.2, which states that the audit team leader shall ensure that the audit is conducted in accordance with the audit plan, and that any changes to the plan are agreed upon and documented.

The other options are not appropriate responses, as they either ignore the information, exceed the scope of the audit, or prematurely raise a nonconformity without sufficient evidence. For example:

B. Cancelling the production of the audit report and instead reviewing the organization’s contracts with its clients to determine whether they have permitted the use of lower grade machines. This is not a suitable response, as it would delay the audit process and the certification decision, and it would involve reviewing documents that are outside the scope of the ISMS audit. The auditor should focus on verifying the information security risk assessment and treatment process, and the information security incident management process, as they relate to the use of lower grade machines.

D. Doing nothing. All audits are based on a sample and the sample you took did not include a planned review of the lower grade machines. This is not a suitable response, as it would disregard a significant information security risk and a potential nonconformity that could affect the audit conclusions and the certification decision. The auditor should follow up on the information provided by the employee and verify its validity and impact.

E. Extending the certification audit duration to create additional time to audit the use of the lower grade machines. This is not a suitable response, as it would disrupt the audit schedule and the availability of the audit team and the auditee. The auditor should report the situation to the certification body and propose any necessary changes to the audit plan, such as conducting a subsequent audit.

F. Raising a nonconformity against 8.1 Operational Planning and Control as the organization has not been open about its processes. This is not a suitable response, as it would be based on a single source of information that has not been verified or corroborated. The auditor should collect sufficient and appropriate audit evidence to support any nonconformity, and should also consider the root cause and the severity of the nonconformity.

[References:, ISO/IEC 27001:2022, clauses 8.1 and Annex A control A.5.24, ISO/IEC 27006:2022, clauses 7.4.2, 7.4.3, and 7.5.2, [PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 18-19, 23-24, A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit, ISO 27001 – Annex A.16: Information Security Incident Management, , , , , ]

Question # 128

You are performing an ISMS audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to verify the information security incident management process. The IT Security Manager presents the information

security incident management procedure (Document reference ID: ISMS_L2_16, version 4) and explains that the process is

based on ISO/IEC 27035-1:2016.

You review the document and notice a statement "any information security weakness, event, and incident should be reported

to the Point of Contact (PoC) within 1 hour after identification". When interviewing staff, you found that there were differences

in the understanding of the meaning of "weakness, event, and incident".

The IT Security Manager explained that an online "information security handling" training seminar was conducted 6 months

ago. All of the interviewed persons participated in and passed the reporting exercise and course assessment.

You are preparing the audit findings. Select two options that are correct.

Options:

There is a nonconformity (NC). The information security incident training has failed. This is not conforming with clause 7.2 and control A.6.3.

There is a nonconformity (NC). The terminology of the the incident management reporting process is unclear as evidenced by staff misunderstanding of the meaning of "weakness, event and incident". This is not conforming with clause 9.1 and control A.5.24.

There is an opportunity for improvement (OFI). The information security incident training effectiveness can be improved. This is relevant to clause 7.2 and control A.6.3.

There is an opportunity for improvement (OFI). The information security weaknesses, events, and incidents are reported. This is relevant to clause 9.1 and control A.5.24.

There is no nonconformance. The information security handling training has been effective. This conforms with clause 7.2 and control A.6.3.

There is no nonconformance. The information security weaknesses, events, and incidents are reported. This conforms with clause 9.1 and control A.5.24.

Buy Now

Answer:

B, C

Explanation:

According to ISO/IEC 27001:2022 clause 7.2, the organization must ensure that the persons doing work under its control are aware of the information security policy, their contribution to the effectiveness of the ISMS, the implications of not conforming to the ISMS requirements, and the benefits of improved information security performance. The organization must also provide information security awareness education and training to its personnel and relevant interested parties. According to control A.6.3, the organization must ensure that all employees and contractors are made aware of the information security incident management procedures and their expected roles and responsibilities. Therefore, an opportunity for improvement (OFI) can be identified if the information security incident training effectiveness can be improved, as evidenced by the differences in the understanding of the meaning of “weakness, event, and incident” among the staff.

According to ISO/IEC 27001:2022 clause 9.1, the organization must monitor, measure, analyze and evaluate the information security performance and the effectiveness of the ISMS. The organization must also retain appropriate documented information as evidence of the monitoring and measurement results. According to control A.5.24, the organization must establish and maintain an information security incident management process that includes the following activities:

•reporting information security events and weaknesses;

•assessing and deciding on information security events;

•responding to information security incidents;

•learning from information security incidents;

•collecting evidence and disclosing information.

Therefore, a nonconformity (NC) can be identified if the terminology of the incident management reporting process is unclear, as evidenced by the staff misunderstanding of the meaning of “weakness, event, and incident”. This could lead to inconsistent or inaccurate reporting, assessment, response, learning, and disclosure of information security incidents, which could affect the information security performance and the effectiveness of the ISMS.

[References:, •ISO/IEC 27001:2022, clauses 7.2, 9.1, and Annex A controls A.5.24 and A.6.3, •[PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 15-16, 18-19, 22-23, •ISO/IEC 27035-1:2016, clauses 4, 5, 6, 7, and 8, •ISO 27001 – Annex A.16: Information Security Incident Management, •ISO 27001:2022 Annex A Control 5.24 - What’s New?, , , ]