PECB ISO-IEC-27001-Lead-Auditor 問題集 : PECB Certified ISO/IEC 27001 Lead Auditor exam

The scope of an organization certified against ISO/IEC 27001 states that they provide editing and web hosting services. However, due to some changes in the organization, the technical support related to the web hosting services has been outsourced. Should a change in the scope be initiated in this case?

• A. No, because the organization is already certified for its editing and web hosting services
• B. No, because the change does not require implementation of new security controls
• C. Yes, because any change in the external environment initiates a change in the scope

You are performing an ISMS audit at a European-based residential nursing home called ABC that provides healthcare services.
During the audit, you discovered evidence suggesting that ABC may be leaking personal data of residents' family members to a third party for marketing purposes, despite signed agreements prohibiting this.
Complaints were treated as nonconformities, and corrective actions were documented under procedure ISMS L2 10.1.
You decide to write a non-conformity. Select the best sentence for the nonconformity:

• A. "When inspecting the extent of action taken in response to a nonconformity, an auditor seeks comfort that necessary corrections will prevent recurrence of the issue."
• B. "When reviewing the effectiveness of action taken in response to a nonconformity, an auditor seeks evidence of change that will prevent recurrence of the issue."
• C. "When conducting follow up audit of preventive action(s) taken in response to a nonconformity, an auditor seeks evidence confirming that there will be no recurrence of the Issue."
• D. "When evaluating the action taken in response to a nonconformity an auditor seeks evidence of documented information that reduces the probability of a recurrence of the issue."
• E. "When examining the completeness of action taken in response to a nonconformity, an auditor seeks an assurance from the auditee that they will prevent recurrence of the issue."
• F. "When assessing the extent of action taken in response to a nonconformity, an auditor seeks evidence of corrective action that will allow recurrence of the issue."

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:
According to Scenario 6, Cyber ACrypt modified the SoA and the ISMS policy after the Stage 1 audit report.
How do you define this situation?

• A. Acceptable, minor modifications to the SoA and ISMS policy can be made until the submission of the final audit report
• B. Acceptable, situations that lead to major nonconformities during the Stage 2 audit should be corrected
• C. Unacceptable, once the external audit passes Stage 1, the SoA and the ISMS policy cannot be modified

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, was the objective of the interviews during the Stage 1 audit accordingly set by the audit team?

• A. Yes, the objective of the interviews is to collect audit evidence to validate the management system's compliance with ISO/IEC 27001 requirements
• B. No, the objective of the interviews is to ensure an adequate understanding of the challenges the auditee faces
• C. No, the objective of the interviews was not aligned with the management system's key performance indicators (KPIs), reducing the audit's effectiveness

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:
Regarding the third situation observed, auditors themselves tested the configuration of firewalls implemented in SendPay's network. How do you describe this situation? Refer to scenario 4.

• A. Acceptable, technical evidence is required to validate the operation of technical processes
• B. Unacceptable, firewall configurations should not be tested during an audit since this can have an impact systems' operation
• C. Unacceptable, the auditors should only observe the testing of system or equipment configurations and not test the system themselves