PECB ISO-IEC-27001-Lead-Auditor - PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

Scenario 6

Sinvestment is an insurance provider that offers a wide range of coverage options, including home, commercial, and life insurance. Originally established in North California, the company has expanded its operations to other locations, including Europe and Africa. In addition to its growth, Sinvestment is committed to complying with laws and regulations applicable to its industry and preventing any information security incident. They have implemented an information security management system (ISMS) based on ISO/IEC 27001 and have applied for certification.

A team of auditors was assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment, they started the audit activities. For the activities of the stage 1 audit, it was decided that they would be performed on site, except the review of documented information, which took place remotely, as requested by Sinvestment.

The audit team started the stage 1 audit by reviewing the documentation required, including the declaration of the ISMS scope, information security policies, and internal audit reports. The evaluation of the documented information was based on the content and procedure for managing the documented information.

In addition, the auditors found out that the documentation related to information security training and awareness programs was incomplete and lacked essential details. When asked, Sinvestment’s top management stated that the company has provided information security training sessions to all employees.

The stage 2 audit was conducted three weeks after the stage 1 audit. The audit team observed that the marketing department (not included in the audit scope) had no procedures to control employees’ access rights. Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the company's information security policy, the issue was included in the audit report.

Question

What steps should Sinvestment take in regard to the missing information security training and awareness procedures during the stage 1 audit? Refer to Scenario 6.

Scenario 4

SendPay is a financial services company specializing in global money transfers through a network of agents and institutions. As a new company in the market, SendPay aims to deliver top-quality services with its fee-free digital platform, launched last year, enabling clients to send and receive money anytime via smartphones and laptops. At that time, SendPay outsourced software operations to an external team, which also managed the company's technology infrastructure.

Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year.

During the audit, the auditors focused on reviewing SendPay’s outsourced operations, specifically looking at the software development and technology infrastructure maintenance handled by the outsourced company. They followed a structured approach, which included reviewing and evaluating SendPay’s processes for monitoring the quality of these outsourced operations. This included verifying if the company met its contractual obligations, ensuring proper governance procedures for engaging outsourced entities, and assessing SendPay’s plans in case of expected or unexpected termination of outsourcing agreements.

However, the auditors subtly noted that SendPay’s protocols did not fully address contingencies for unanticipated cancellations of outsourcing agreements. Additionally, a technical expert appointed by SendPay assisted the auditors, providing specific knowledge and expertise related to the outsourced operations being audited.

The audit team calculated the number of training hours employees received on ISMS to ensure alignment with established objectives. They also computed the average resolution time of information security incidents based on a sample taken during the audit, which provided valuable insights into SendPay’s incident management practices. In addition, the auditors evaluated the reliability of the evidence collected during the audit. They considered several factors influencing the reliability of audit evidence. For example, evidence from surveillance cameras provided more objective proof compared to photos. Timing also played a crucial role in reliability, with mechanisms like transaction recording enhancing the credibility of the evidence.

SendPay uses cloud-based platforms to make its operations more efficient and scalable. However, during the audit, the auditors did not request SendPay to provide an inventory of their cloud activities due to resource limitations, relying instead on SendPay’s representations.

Question

Did the auditors establish a thorough understanding of SendPay’s cloud environment during the audit process? Refer to Scenario 4.

Scenario 9: UpNet, a networking company, has been certified against ISO/IEC 27001. It provides network security, virtualization, cloud computing, network hardware, network management software, and networking technologies.

The company's recognition has increased drastically since gaining ISO/IEC 27001 certification. The certification confirmed the maturity of UpNefs operations and its compliance with a widely recognized and accepted standard.

But not everything ended after the certification. UpNet continually reviewed and enhanced its security controls and the overall effectiveness and efficiency of the ISMS by conducting internal audits. The top management was not willing to employ a full-time team of internal auditors, so they decided to outsource the internal audit function. This form of internal audits ensured independence, objectivity, and that they had an advisory role about the continual improvement of the ISMS.

Not long after the initial certification audit, the company created a new department specialized in data and storage products. They offered routers and switches optimized for data centers and software-based networking devices, such as network virtualization and network security appliances. This caused changes to the operations of the other departments already covered in the ISMS certification scope.

Therefore. UpNet initiated a risk assessment process and an internal audit. Following the internal audit result, the company confirmed the effectiveness and efficiency of the existing and new processes and controls.

The top management decided to include the new department in the certification scope since it complies with ISO/IEC 27001 requirements. UpNet announced that it is ISO/IEC 27001 certified and the certification scope encompasses the whole company.

One year after the initial certification audit, the certification body conducted another audit of UpNefs ISMS. This audit aimed to determine the UpNefs ISMS fulfillment of specified ISO/IEC 27001 requirements and ensure that the ISMS is being continually improved. The audit team confirmed that the certified ISMS continues to fulfill

the requirements of the standard. Nonetheless, the new department caused a significant impact on governing the management system. Moreover, the certification body was not informed about any changes. Thus, the UpNefs certification was suspended.

Based on the scenario above, answer the following question:

UpNet announced that the ISMS certification scope encompasses the whole company once ensuring that the new department also complies with the ISO/IEC 27001 requirements. How would you classify this situation illustrated in scenario 9?

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.

You see a blue color sticker on certain physical assets. What does this signify?

OrgXY is an ISO/IEC 27001-certified software development company. A year after being certified, OrgXY's top management informed the certification body that the company was not ready for conducting the surveillance audit. What happens in this case?

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.

Based on this scenario, answer the following question:

Insufficient testing and lack of samples provided to Fintive's chatbot during the training phase are considered as 1.

Refer to scenario

Scenario 9: Techmanic is a Belgian company founded in 1995 and currently operating in Brussels. It provides IT consultancy, software design, and hardware/software services, including deployment and maintenance. The company serves sectors like public services, finance, telecom, energy, healthcare, and education. As a customer-centered company, it prioritizes strong client relationships and leading security practices.

Techmanic has been ISO/IEC 27001 certified for a year and regards this certification with pride. During the certification audit, the auditor found some inconsistencies in its ISMS implementation. Since the observed situations did not affect the capability of its ISMS to achieve the intended results, Techmanic was certified after auditors followed up on the root cause analysis and corrective actions remotely During that year, the company added hosting to its list of services and requested to expand its certification scope to include that area The auditor in charge approved the request and notified Techmanic that the extension audit would be conducted during the surveillance audit

Techmanic underwent a surveillance audit to verify its iSMS's continued effectiveness and compliance with ISO/IEC 27001. The surveillance audit aimed to ensure that Techmanic’s security practices, including the recent addition of hosting services, aligned seamlessly with the rigorous requirements of the certification

The auditor strategically utilized the findings from previous surveillance audit reports in the recertification activity with the purpose of replacing the need for additional recertification audits, specifically in the IT consultancy sector. Recognizing the value of continual improvement and learning from past assessments. Techmanic implemented a practice of reviewing previous surveillance audit reports. This proactive approach not only facilitated identifying and resolving potential nonconformities but also aimed to streamline the recertification process in the IT consultancy sector.

During the surveillance audit, several nonconformities were found. The ISMS continued to fulfill the ISO/IEC 27001*s requirements, but Techmanic failed to resolve the nonconformities related to the hosting services, as reported by its internal auditor. In addition, the internal audit report had several inconsistencies, which questioned the independence of the internal auditor during the audit of hosting services. Based on this, the extension certification was not granted. As a result. Techmanic requested a transfer to another certification body. In the meantime, the company released a statement to its clients stating that the ISO/IEC 27001 certification covers the IT services, as well as the hosting services.

Based on the scenario above, answer the following question:

Question:

Is questioning the independence of the internal auditor important given the inconsistencies found in the internal audit report?

You are carrying out your first third-party ISMS surveillance audit as an audit team leader. You are presently in the auditee's data centre with another member of your audit team and the organisation's guide.

You request access to a locked room protected by a combination lock and iris scanner. The room contains several rows of uninterruptable power supplies along with several data cabinets containing client-supplied

equipment, predominantly servers, and switches.

You note that there is a gas-based fire extinguishing system in place. A label indicates that the system requires testing every 6 months however the most recent test recorded on the label was carried out by the

manufacturer 12 months ago.

Based on the scenario above which two of the following actions would you now take?

Objectives, criteria, and scope are critical features of a third-party ISMS audit. Which two issues are audit objectives?

Evaluate customer processes and functions