PECB ISO-IEC-27001-Lead-Auditor Exam With Confidence Using Practice Dumps

Scenario 6: Sinvestment is an insurance company that offers home, commercial, and life insurance. The company was founded in North Carolina, but have recently expanded in other locations, including Europe and Africa.

Sinvestment is committed to complying with laws and regulations applicable to their industry and preventing any information security incident. They have implemented an ISMS based on ISO/IEC 27001 and have applied for ISO/IEC 27001 certification.

Two auditors were assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment. they started the audit activities. First, they reviewed the documentation required by the standard, including the declaration of the ISMS scope, information security policies, and internal audits reports. The review process was not easy because, although Sinvestment stated that they had a documentation procedure in place, not all documents had the same format.

Then, the audit team conducted several interviews with Sinvestment's top management to understand their role in the ISMS implementation. All activities of the stage 1 audit were performed remotely, except the review of documented information, which took place on-site, as requested by Sinvestment.

During this stage, the auditors found out that there was no documentation related to information security training and awareness program. When asked, Sinvestment's representatives stated that the company has provided information security training sessions to all employees. Stage 1 audit gave the audit team a general understanding of Sinvestment's operations and ISMS.

The stage 2 audit was conducted three weeks after stage 1 audit. The audit team observed that the marketing department (which was not included in the audit scope) had no procedures in place to control employees’ access rights. Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the information security policy of the company, the issue was included in the audit report. In addition, during stage 2 audit, the audit team observed that Sinvestment did not record logs of user activities. The procedures of the company stated that "Logs recording user activities should be retained and regularly reviewed," yet the company did not present any evidence of the implementation of such procedure.

During all audit activities, the auditors used observation, interviews, documented information review, analysis, and technical verification to collect information and evidence. All the audit findings during stages 1 and 2 were analyzed and the audit team decided to issue a positive recommendation for certification.

During stage 1 audit, the audit team found out that Sinvestment did not have records on information security training and awareness. What Sinvestment do in this case? Refer to scenario 6.

Scenario 7: Lawsy is a leading law firm with offices in New Jersey and New York City. It has over 50 attorneys offering sophisticated legal services to clients in business and commercial law, intellectual property, banking, and financial services. They believe they have a comfortable position in the market thanks to their commitment to implement information security best practices and remain up to date with technological developments.

Lawsy has implemented, evaluated, and conducted internal audits for an ISMS rigorously for two years now. Now, they have applied for ISO/IEC 27001 certification to ISMA, a well-known and trusted certification body.

During stage 1 audit, the audit team reviewed all the ISMS documents created during the implementation. They also reviewed and evaluated the records from management reviews and internal audits.

Lawsy submitted records of evidence that corrective actions on nonconformities were performed when necessary, so the audit team interviewed the internal auditor. The interview validated the adequacy and frequency of the internal audits by providing detailed insight into the internal audit plan and procedures.

The audit team continued with the verification of strategic documents, including the information security policy and risk evaluation criteria. During the information security policy review, the team noticed inconsistencies between the documented information describing governance framework (i.e., the information security policy) and the procedures.

Although the employees were allowed to take the laptops outside the workplace, Lawsy did not have procedures in place regarding the use of laptops in such cases. The policy only provided general information about the use of laptops. The company relied on employees' common knowledge to protect the confidentiality and integrity of information stored in the laptops. This issue was documented in the stage 1 audit report.

Upon completing stage 1 audit, the audit team leader prepared the audit plan, which addressed the audit objectives, scope, criteria, and procedures.

During stage 2 audit, the audit team interviewed the information security manager, who drafted the information security policy. He justified the Issue identified in stage 1 by stating that Lawsy conducts mandatory information security training and awareness sessions every three months.

Following the interview, the audit team examined 15 employee training records (out of 50) and concluded that Lawsy meets requirements of ISO/IEC 27001 related to training and awareness. To support this conclusion, they photocopied the examined employee training records.

Based on the scenario above, answer the following question:

The audit team photocopied the examined employee training records to support their conclusion. Should the audit team obtain an approval from Lawsy before taking this action? Refer to scenario 7.

Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the

fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is

considered to be the ultimate media machine of 2021 which will give the best gaming experience to players. The console pack will include a pair of VR headset, two

games, and other gifts.

Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the

reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market. Besides being a very customer-oriented company, Knight

also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.

Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.

Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an

operational ISMS for over a year. The ISMS scope includes all departments of Knight, except Finance and HR departments.

Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze

every part of the system and the details of the incident.

The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their

accounts. However, after carefully investigating the incident, the IRT determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.

FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.

Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone

capturing the traffic can only see encrypted data.

Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of

the process were approved by the ISMS project manager who claimed that the level of risk after the implementation of new controls was in accordance with the

company's risk acceptance levels.

Based on this scenario, answer the following question:

FTP uses clear text passwords for authentication. This is an FTP: