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

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:

Why could SendPay not restore their services back in-house after the contract termination? Refer to scenario 4.

OrgXY is an ISO/IEC 27001-certified software development company. A year after being certified, OrgXY's top management informed the certification body that the company was not ready for conducting the surveillance audit. What happens in this case?

The scope of an organization certified against ISO/IEC 27001 states that they provide editing and web hosting services. However, due to some changes in the organization, the technical support related to the web hosting services has been outsourced. Should a change in the scope be initiated in this case?

You are conducting an ISMS audit. The next step in your audit plan is to verify that the organisation's

information security risk treatment plan has been established and implemented properly. You decide to

interview the IT security manager.

You: Can you please explain how the organisation performs its information security risk assessment and

treatment process?

IT Security Manager: We follow the information security risk management procedure which generates a

risk treatment plan.

Narrator: You review risk treatment plan No. 123 relating to the planned installation of an electronic

(invisible) fence to improve the physical security of the nursing home. You found the risk treatment plan was

approved by IT Security Manager.

You: Who is responsible for physical security risks?

IT Security Manager: The Facility Manager is responsible for the physical security risk. The IT department helps them to monitor the alarm. The Facility Manager is authorized to approve the budget for risk treatment plan No. 123.

You: What residual information security risks exist after risk treatment plan No. 123 was implemented?

IT Security Manager: There is no information for the acceptance of residual information security risks as far as I know.

You prepare your audit findings. Select three options for findings that are justified in the scenario.