Pearson ISO-IEC-27001-Lead-Auditor New Attempt

PECB Certified ISO/IEC 27001 2022 Lead Auditor exam Questions and Answers

Question 69

You are carrying out a third-party surveillance audit of a client's ISMS. You are currently in the secure storage area of the data centre where the organisation's customers are able to temporarily locate equipment coming into or going out of the site. The equipment is contained within locked cabinets and each cabinet is allocated to a single, specific client.

Out of the corner of your eye you spot movement near the external door of the storage area. This is followed by a loud noise. You ask the guide what is going on. They tell you that recent high rainfall has raised local river levels and caused an infestation of rats. The noise was a specialist pest control stunning device being triggered. You check the device in the corner and find there is a large immobile rat contained within it.

What three actions would be appropriate to take next?

Options:

Take no further action. This is an ISMS audit, not an environmental management system audit

Investigate whether pest infestation is an identified risk and if so, what risk treatment is to be applied

Determine whether the high levels of rainfall have had other impacts on data centre operations e.g. damage to infrastructure, access issues for clients, invocation of business continuity arrangements

Raise a nonconformity against control 7.4 Physical Security monitoring

Raise a nonconformity against control 7.2 Physical Entry

Check with the guide that they intend to initiate the organisation's information security incident process

Inspect the client cabinets for signs of rodent ingress and record your findings as audit evidence

Question 70

During a follow-up audit, you notice that a nonconformity identified for completion before the follow-up audit is still outstanding.

Which four of the following actions should you take?

Options:

Report the failure to address the corrective action for the outstanding nonconformity to the organisation's top management

Immediately raise an nonconformity as the date for completion has been exceeded

If the delay is justified agree on a revised date for clearing the nonconformity with the auditee/audit client

Contact the individuals) managing the audit programme to seek their advice as to how to proceed

Decide whether the delay in addressing the nonconformity is justified

Cancel the follow-up audit and return when an assurance has been received that the nonconformity has been cleared

Note the nonconformity is still outstanding and follow audit trails to determine why

Question 71

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?

Options:

Unacceptable, the internal auditor should have approved the extension audit, not the top management

Unacceptable, UpNet should have requested and granted an extension audit prior to making the announcement

Acceptable, the internal audit confirmed the effectiveness and efficiency of the existing and new processes and controls

Question 72

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.

Your colleague seems unsure as to the difference between an information security event and an information security incident. You attempt to explain the difference by providing examples.

Which three of the following scenarios can be defined as information security incidents?

Options:

The organisation's malware protection software prevents a virus

A hard drive is used after its recommended replacement date

The organisation receives a phishing email

An employee fails to clear their desk at the end of their shift

A contractor who has not been paid deletes top management ICT accounts

An unhappy employee changes payroll records without permission

The organisation fails a third-party penetration test

Answer:

E, F, H

Explanation:

According to ISO/IEC 27000:2018, which provides an overview and vocabulary of information security management systems, an information security event is an identified occurrence of a system, service or network state indicating a possible breach of information security policy or failure of safeguards, or a previously unknown situation that may be security relevant1. An information security incident is a single or a series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security1. Therefore, based on this definition, three examples of information security incidents are:

A contractor who has not been paid deletes top management ICT accounts: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of access, data, or functionality for the top management.
An unhappy employee changes payroll records without permission: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in financial fraud, legal liability, or reputational damage for the organization.
The organisation’s marketing data is copied by hackers and sold to a competitor: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of confidentiality, competitive advantage, or customer trust for the organization.

The other options are not examples of information security incidents, but rather information security events that may or may not lead to incidents depending on their impact and severity. For example:

The organisation’s malware protection software prevents a virus: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, as it is prevented by the malware protection software.
A hard drive is used after its recommended replacement date: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it fails or causes other problems.
The organisation receives a phishing email: This is an example of an identified occurrence of a network state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it is opened or responded to by the recipient.
An employee fails to clear their desk at the end of their shift: This is an example of an identified occurrence of a service state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the desk contains sensitive or confidential information that is accessed by unauthorized persons.
The organisation fails a third-party penetration test: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the penetration test reveals serious vulnerabilities that are exploited by malicious actors.

References: ISO/IEC 27000:2018 - Information technology – Security techniques – Information security management systems – Overview and vocabulary

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Pearson ISO-IEC-27001-Lead-Auditor New Attempt

PECB Certified ISO/IEC 27001 2022 Lead Auditor exam Questions and Answers

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