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:
Based on scenario 1, the chatbot was unable to properly answer customer queries. Which principle of information security has been affected in this case?
A. Availability B. Integrity C. Confidentiality
B. Integrity
Explanation/Reference:
The integrity principle of information security has been affected in this case. The chatbot's inability to provide accurate answers and its unintended behavior (sending random files) due to insufficient testing and lack of proper training samples compromised the integrity of the system.
Question 122:
You see a blue color sticker on certain physical assets. What does this signify?
A. The asset is very high critical and its failure affects the entire organization B. The asset with blue stickers should be kept air conditioned at all times C. The asset is high critical and its failure will affect a group/s/project's work in the organization D. The asset is critical and the impact is restricted to an employee only
C. The asset is high critical and its failure will affect a group/s/project's work in the organization
Explanation/Reference:
You see a blue color sticker on certain physical assets. This signifies that the asset is high critical and its failure will affect a group/s/project's work in the organization. A blue color sticker is a type of label that indicates the level of criticality of an asset, which is a measure of how important an asset is for the organization's operations and objectives. A high critical asset is an asset that has a significant impact on the organization's activities, and its loss or damage would cause major disruption or loss of service. A blue color sticker also implies that the asset requires a high level of protection and security, and should be handled with care. References: CQI and IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 36. : [ISO/IEC 27001 Brochures | PECB], page 6.
Question 123:
Which one of the following options is the definition of an interested party?
A. A third party can appeal to an organisation when it perceives itself to be affected by a decision or activity B. A person or organisation that can affect, be affected by or perceive itself to be affected by a decision or activity C. A group or organisation that can interfere in or perceive itself to be interfered with by a management decision D. An individual or organisation that can control, be controlled by, or perceive itself to be controlled by a decision or activity
B. A person or organisation that can affect, be affected by or perceive itself to be affected by a decision or activity
Explanation/Reference:
This is the definition of an interested party according to ISO 27001:2013, clause 3.16. An interested party is essentially a stakeholder, i.e., a person or organization that can influence or be influenced by the information security management system (ISMS) or its activities. Interested parties can have different needs and expectations regarding the ISMS, and these should be identified and addressed by the organization. References: ISO/IEC 27001:2013, Information technology -- Security techniques -- Information security management systems -- Requirements, clause 3.16 PECB Candidate Handbook ISO 27001 Lead Auditor, page 10 Identifying interested parties and their expectations for an ISO 27001 ISMS Examples of ISO 27001 interested parties
Question 124:
AppFolk, a software development company, is seeking certification against ISO/IEC 27001. In the initial phases of the external audit, the certification body in discussion with the company excluded the marketing division from the audit scope, although they stated in their ISMS scope that the whole company is included. Is this acceptable?
A. Yes, audit and ISMS scope do not necessarily need to be the same B. No, divisions that are not critical for the industrial sector in which the auditee operates can be excluded from the audit scope C. No, audit scope should reflect all of the organization's divisions covered by the ISMS
C
Explanation/Reference:
No, the audit scope should reflect all of the organization's divisions that are covered by the ISMS. If the ISMS scope stated that it includes the whole company, the audit scope should align with this unless specifically justified and agreed upon by all stakeholders.
References: ISO/IEC 27001:2013, Clause 4.3 (Determining the scope of the information security management system)
Question 125:
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:
What type of audit is illustrated in the last paragraph of scenario 9?
A. Surveillance audit B. Internal audit C. Recertification audit
A. Surveillance audit
Explanation/Reference:
The audit described in the last paragraph of scenario 9 is a surveillance audit. This type of audit is conducted periodically to ensure that the certified ISMS continues to fulfill the requirements of the standard after the initial certification.
Question 126:
You are an audit team leader who has just completed a third-party audit of a mobile telecommunication provider. You are preparing your audit report and are just about to complete a section headed 'confidentiality'.
An auditor in training on your team asks you if there are any circumstances under which the confidential report can be released to third parties.
Which four of the following responses are false?
A. Although we advise the client the report is confidential we can decide to release it to third parties if we feel this is justified. We would always tell the client afterwards B. The report can be released to third parties but only with the explicit, prior approval of the audit client C. There are no circumstances under which the report can be released to a third party. Confidential means confidential and releasing the document would be a breach of trust D. The starting position is always that third parties have no automatic right to access an audit report E. If the third party has gained a legal notice for us to disclose the report then we must do so. In all such cases we would advise the audit client and, as appropriate, the auditee F. Any auditor employed by the auditing organisation can access the audit report G. Our duty of confidentiality is not something that lasts forever. As a certification body, we can decide how long we wish to keep reports confidential. After this, they can be accessed by third parties making a subject access request H. Subcontracted auditors are considered to be third parties regarding confidentiality and are therefore typically bound by confidentiality agreements
A. Although we advise the client the report is confidential we can decide to release it to third parties if we feel this is justified. We would always tell the client afterwards F. Any auditor employed by the auditing organisation can access the audit report G. Our duty of confidentiality is not something that lasts forever. As a certification body, we can decide how long we wish to keep reports confidential. After this, they can be accessed by third parties making a subject access request H. Subcontracted auditors are considered to be third parties regarding confidentiality and are therefore typically bound by confidentiality agreements
Explanation/Reference:
The audit report is a confidential document that contains sensitive information about the auditee's ISMS and its performance. The audit team has a duty to protect the confidentiality of the audit report and only disclose it to authorized parties, such as the audit client, the certification body, and the accreditation body. Therefore, the following responses are false:
A: The audit team cannot decide to release the report to third parties without the consent of the audit client, as this would breach the confidentiality agreement and the audit code of conduct. The audit team should always inform the audit client before disclosing the report to any third party, and obtain their explicit, prior approval.
F: Not every auditor employed by the auditing organization can access the audit report, as this would violate the principle of need-to-know. Only auditors who are involved in the audit process, such as the audit team leader, the audit team members, the audit programme manager, and the certification decision maker, can access the audit report. Other auditors who are not related to the audit have no legitimate reason to access the report, and should be prevented from doing so by appropriate security measures.
G: The duty of confidentiality does not expire after a certain period of time, as this would compromise the trust and integrity of the audit process. The audit report remains confidential indefinitely, unless there is a legal or contractual obligation to disclose it, or the audit client agrees to release it. Third parties cannot access the audit report by making a subject access request, as this would infringe the privacy and data protection rights of the audit client and the auditee.
H: Subcontracted auditors are not considered to be third parties regarding confidentiality, as they are part of the audit team and have a contractual relationship with the auditing organization. Subcontracted auditors are typically bound by the same confidentiality agreement and audit code of conduct as the employed auditors, and have the same rights and responsibilities to access and protect the audit report.
References: ISO/IEC 27001:2022, clause 9.2, Internal audit ISO/IEC 27006:2015, clause 7.2.3, Confidentiality PECB Candidate Handbook ISO 27001 Lead Auditor, page 22, Audit Report PECB Candidate Handbook ISO 27001 Lead Auditor, page 24, Audit Code of Conduct
Question 127:
Auditor competence is a combination of knowledge and skills. Which two of the following activities are predominately related to "knowledge"?
A. Understanding how to identify findings B. Designing a checklist C. Follow an audit trail deviating from the prepared checklist D. Communicate with the auditee E. Determining how to seek evidence from the auditee F. Determining what evidence to gather
B. Designing a checklist F. Determining what evidence to gather
Explanation/Reference:
Knowledge is the understanding of facts, concepts, principles, theories and practices related to a specific subject or discipline. Skills are the ability to apply knowledge and use know-how to complete tasks and solve problems. According to ISO 19011:2018, the knowledge and skills of an auditor include the following: Knowledge of audit principles, procedures and methods Knowledge of management system standards and reference documents Knowledge of the organization's context, scope, processes and objectives Knowledge of relevant legal, regulatory and contractual requirements
Knowledge of applicable industry, sector or technical disciplines Knowledge of risk management and risk-based thinking Skill in collecting and verifying information Skill in evaluating conformity and effectiveness of management systems
Skill in reporting and communicating audit results
Skill in managing audit activities and teams
Based on this, the activities that are predominately related to knowledge are designing a checklist and determining what evidence to gather, as they require the auditor to understand the audit criteria, scope, objectives and methods, as well as the organization's context, processes and risks. The other activities are more related to skills, as they involve applying knowledge and using know-how to perform tasks and solve problems during the audit.
References: ISO 19011:2018, Guidelines for auditing management systems, clauses 7.2.1, 7.2.2 and 7.2.3 PECB Candidate Handbook - ISO 27001 Lead Auditor, pages 9-10 and 16-17 ISO 9001 Auditing Practices Group Guidance on: Auditing Competence, pages 2-3 and 8
Question 128:
An audit finding is the result of the evaluation of the collected audit evidence against audit criteria. Evaluate the following potential formats of audit evidence and select the two that are acceptable.
A. Unsigned hand written changes to test results B. Statement of facts by the IT manager C. Documented information on results of IT audits D. Statements by a system engineer that cannot be verified E. Observation of a previously recorded video demonstrating the performance of a hazardous activity F. An audio recording of a dialog between the IT manager and a system engineer
C. Documented information on results of IT audits D. Statements by a system engineer that cannot be verified E. Observation of a previously recorded video demonstrating the performance of a hazardous activity
Explanation/Reference:
According to the ISO/IEC 27001 Lead Auditor exam preparation guide1, audit evidence can be in various formats, such as records, statements of fact, or other information that is relevant and verifiable. Audit evidence can be collected by means of interviews, observation, sampling, testing, or other techniques. However, not all formats of audit evidence are acceptable or reliable. For example, unsigned hand written changes to test results (A) are not verifiable and may indicate tampering or falsification. Statements by a system engineer that cannot be verified (D) are also not reliable and may be biased or inaccurate. An audio recording of a dialog between the IT manager and a system engineer (F) may not be relevant to the audit criteria or may violate the confidentiality or consent of the parties involved. A statement of facts by the IT manager (B) may be relevant and verifiable, but it is not sufficient as audit evidence unless it is supported by other sources of information. Therefore, the two acceptable formats of audit evidence are documented information on results of IT audits ?and observation of a previously recorded video demonstrating the performance of a hazardous activity (E), as they are relevant to the audit criteria and can be verified by other means. References: 1: https://pecb.com/pdf/exam-preparation-guides/pecb-iso-iec-27001-lead-auditor-exam- preparation-guide.pdf (page 9)
Question 129:
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:
Based on scenario 4, the auditors requested documentary evidence regarding the monitoring process of outsourced operations. What does this indicate?
A. The auditors demonstrated professional skepticism B. The auditors compromised the confidentiality of outsourced operations C. The auditors evaluated the evidence based on a risk-based approach
A. The auditors demonstrated professional skepticism
Explanation/Reference:
Based on the provided scenario, the auditors' request for documentary evidence regarding the monitoring process of outsourced operations indicates that the auditors demonstrated professional skepticism. This is because professional skepticism involves a critical assessment of audit evidence and includes a questioning mind and a careful evaluation of the information provided by the auditee.
Professional skepticism is an essential part of the auditing process, especially in the context of ISO/IEC 27001, which requires auditors to systematically examine an organization's information security risks, including the management of outsourced processes. The auditors' request for evidence suggests that they were not satisfied with verbal assurances alone and sought to verify that SendPay had a formal, documented process for monitoring outsourced activities, which is a requirement for maintaining an effective Information Security Management System (ISMS).
Question 130:
The purpose of a management system audit is to? Select 1
A. Evaluate the performance of an organisation's management system B. Improve the performance of an organisation's management system C. Manage the performance of an organisation's management system D. Research the performance of an organisation's management system
A. Evaluate the performance of an organisation's management system
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