PECB Updated ISO-IEC-27001-Lead-Auditor Exam Questions and Answers by clark

According to ISO 27001:2022 Annex A Control 8.30, the organisation shall ensure that externally provided processes, products or services that are relevant to the information security management system are controlled. This includes developing and entering into licensing agreements that cover code ownership and intellectual property rights, and implementing appropriate contractual requirements related to secure design and coding in accordance with Annex A 8.25 and 8.2912

In this case, the organisation and the developer have performed security tests that failed, which indicates that the secure design and coding requirements of Annex A 8.29 were not met. The IT Manager explains that the encryption and pseudonymization functions failed because they slowed down the system and service performance, and that an extra 150% of resources are needed to cover this. However, this does not justify the acceptance of the test results by the Service Manager, who is not authorised to approve the test according to the software security management procedure. The Service Manager should have consulted with the IT Manager, who is the owner of the process, and followed the procedure for handling nonconformities and corrective actions. The Service Manager’s decision to continue the service based on access control alone exposes the organisation to the risk of compromising the confidentiality, integrity, and availability of personal data processed by the mobile app. Therefore, there is a nonconformity (NC) with clause 8.1, control A.8.30.

According to ISO 27001:2022 Clause 8.1, the organisation shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in Clause 6.1. The organisation shall also control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary12

In this case, the organisation has not controlled the planned change of the mobile app from version 1.0 to version 1.01, which was a minor update provided by the outsourced developer in response to frequent ransomware attacks. The IT Manager explains that the developer performed an emergency release of the updated software, and gave a verbal guarantee that there will be no impact on any security functions. However, this is not sufficient to ensure that the change is properly assessed, tested, documented, and approved before deployment. The IT Manager should have followed the change management process and procedure, and verified that the updated software meets the security requirements and does not introduce any new vulnerabilities or risks. The IT Manager’s reliance on his 20 years of information security experience and the developer’s verbal guarantee is not a valid basis for skipping the re-testing of the software. Therefore, there is a nonconformity (NC) with clause 8.1.

References:

1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

A threat in information security is any circumstance or event with the potential to cause harm to an information system through unauthorized access, destruction, disclosure, modification of data, and/or denial of service. The situation where hackers compromise an administrator’s account by cracking the password represents a direct threat to the security of the information system. References: = This explanation is based on general information security principles and the typical content covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs. It aligns with the knowledge expected of a professional with an ISO/IEC 27001 Lead Auditor certification

The main purpose of a Stage 2 third-party audit is to evaluate the implementation and effectiveness of the organisation’s management system and to identify any nonconformances against the requirements of the standard12. The other options are either the objectives of a Stage 1 audit (A, D) or a specific aspect of the audit scope (B). References: 1: ISO/IEC 27006:2022, Information technology — Security techniques — Requirements for bodies providing audit and certification of information security management systems, Clause 9.2 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 4: Preparing an ISO/IEC 27001 audit

• Top management requests auditors from the organisation’s compliance department to audit the production process in order to ensure the final product meets quality requirements = First-party audit
• Auditors from the buyer’s organisation audit their raw material supplier to ensure the supply fulfils the order and contract = Second-party audit
• Auditors from an independent certification body conduct an audit of the organisation to verify conformity with an ISO Standard for certification purposes = Third-party audit
• The organisation has been audited against two management system standards in one audit = Combined audit

Explanation: According to the ISO/IEC 27001 standard, there are three main categories of audits: internal, external, and certification1. An internal audit, also known as a first-party audit, is an audit conducted by the organisation itself, or by an external party on its behalf, for management review and other internal purposes12. An external audit, also known as a second-party audit, is an audit conducted by a customer or other interested party on a supplier or contractor to verify compliance with contractual or other requirements12. A certification audit, also known as a third-party audit, is an audit conducted by an independent certification body to verify conformity with an ISO standard for certification purposes12. A combined audit is an audit where two or more management system standards are audited together3.

References: 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 192: ISO 27001 Audit Types and How They are Conducted23: The Four ISO 27001 Audit Categories, Explained4