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 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:
Lawsy lacks a procedure regarding the use of laptops outside the workplace and it relies on employees' common knowledge to protect the confidentiality of information stored in the laptops. This presents:
You are conducting a third-party surveillance audit when another member of the audit team approaches you seeking clarification. They have been asked to assess the organisation's application of control 5.7 - Threat Intelligence. They are aware that this is one of the new controls introduced in the 2022 edition of ISO/IEC 27001, and they want to make sure they audit the control correctly.
They have prepared a checklist to assist them with their audit and want you to confirm that their planned activities are aligned with the control's requirements.
Which three of the following options represent valid audit trails?
CEO sends a mail giving his views on the status of the company and the company’s future strategy and the CEO's vision and the employee's part in it. The mail should be classified as
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