The PECB Certified ISO/IEC 27001 2022 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor)

After completing Stage 1 and in preparation for a Stage 2 initial certification audit, the auditee informs the audit team leader that they wish to extend the audit scope to include two additional sites that have recently been acquired by the organisation.

Considering this information, what action would you expect the audit team leader to take?

Review the following statements and determine which two are false:

You are an experienced ISMS audit team leader. An auditor in training has approached you to ask you to clarify the different types of audits she may be required to undertake.

Match the following audit types to the descriptions.

To complete the table click on the blank section you want to complete so that It is highlighted In fed, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.

Scenario 9: Techmanic is a Belgian company founded in 1995 and currently operating in Brussels. It provides IT consultancy, software design, and hardware/software services, including deployment and maintenance. The company serves sectors like public services, finance, telecom, energy, healthcare, and education. As a customer-centered company, it prioritizes strong client relationships and leading security practices.

Techmanic has been ISO/IEC 27001 certified for a year and regards this certification with pride. During the certification audit, the auditor found some inconsistencies in its ISMS implementation. Since the observed situations did not affect the capability of its ISMS to achieve the intended results, Techmanic was certified after auditors followed up on the root cause analysis and corrective actions remotely During that year, the company added hosting to its list of services and requested to expand its certification scope to include that area The auditor in charge approved the request and notified Techmanic that the extension audit would be conducted during the surveillance audit

Techmanic underwent a surveillance audit to verify its iSMS ' s continued effectiveness and compliance with ISO/IEC 27001. The surveillance audit aimed to ensure that Techmanic’s security practices, including the recent addition of hosting services, aligned seamlessly with the rigorous requirements of the certification

The auditor strategically utilized the findings from previous surveillance audit reports in the recertification activity with the purpose of replacing the need for additional recertification audits, specifically in the IT consultancy sector. Recognizing the value of continual improvement and learning from past assessments. Techmanic implemented a practice of reviewing previous surveillance audit reports. This proactive approach not only facilitated identifying and resolving potential nonconformities but also aimed to streamline the recertification process in the IT consultancy sector.

During the surveillance audit, several nonconformities were found. The ISMS continued to fulfill the ISO/IEC 27001*s requirements, but Techmanic failed to resolve the nonconformities related to the hosting services, as reported by its internal auditor. In addition, the internal audit report had several inconsistencies, which questioned the independence of the internal auditor during the audit of hosting services. Based on this, the extension certification was not granted. As a result. Techmanic requested a transfer to another certification body. In the meantime, the company released a statement to its clients stating that the ISO/IEC 27001 certification covers the IT services, as well as the hosting services.

Based on the scenario above, answer the following question:

Question:

What action should be taken regarding Techmanic’s certification?

Scenario 2

Knight is an electronics company based in Northern California, the US that develops video game consoles. With over 300 employees globally, Knight is celebrating its fifth anniversary by launching the G-Console, a next-generation gaming system aimed at international markets. G-Console is considered to be the ultimate media machine of 2021, and it will give players the best gaming experience. The console pack will include a pair of VR headsets, two games, and other gifts.

Over the years, the company has developed a strong reputation for integrity, honesty, and respect toward their customers. Besides being a very customer-oriented company, Knight also gained wide recognition within the gaming industry because of its quality.

As one of the leading video game console developers in the world, Knight often finds itself a target for malicious activities. Therefore, it has implemented an information security management system (ISMS) based on ISO/IEC 27001, and its scope was communicated to employees of the company over a weekly meeting.

Recently, however, Knight experienced a security breach when hackers leaked proprietary information. In response, the incident response team (IRT) immediately began a thorough investigation of the system and the specifics of the incident. Initially, the IRT suspected that employees may have used weak passwords, allowing hackers to easily access their accounts. Upon further investigation, it was revealed that the hackers captured traffic from the file transfer protocol (FTP), which transmits data using clear-text passwords for authentication.

In light of this security incident, and following the IRT’s recommendations, Knight decided to replace the FTP with Secure Shell (SSH) protocol. This change ensures that any captured traffic is encrypted, significantly improving security.

After implementing these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. Based on the results of the risk assessment, they chose a risk treatment option to treat the risk.

Question

According to Scenario 2, the ISMS scope was communicated to Knight’s employees at the weekly meeting. Is this acceptable?

You are performing an ISMS audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to verify the information security incident management process. The IT Security Manager presents the information security incident management procedure and explains that the process is based on ISO/IEC 27035-1:2016.

You review the document and notice a statement " any information security weakness, event, and incident should be reported to the Point of Contact (PoC) within 1 hour after identification " . When interviewing staff, you found that there were differences in the understanding of the meaning of " weakness, event, and incident " .

You sample incident report records from the event tracking system for the last 6 months with summarized results in the following table.

You would like to further investigate other areas to collect more audit evidence. Select two options that will not be in your audit trail.

The auditor used sampling to ensure that event logs recording information security events are maintained and regularly reviewed. Sampling was based on the audit objectives, whereas the sample selection process was based on the probability theory. What type of sampling was used?

Scenario 6

Sinvestment is an insurance provider that offers a wide range of coverage options, including home, commercial, and life insurance. Originally established in North California, the company has expanded its operations to other locations, including Europe and Africa. In addition to its growth, Sinvestment is committed to complying with laws and regulations applicable to its industry and preventing any information security incident. They have implemented an information security management system (ISMS) based on ISO/IEC 27001 and have applied for certification.

A team of auditors was assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment, they started the audit activities. For the activities of the stage 1 audit, it was decided that they would be performed on site, except the review of documented information, which took place remotely, as requested by Sinvestment.

The audit team started the stage 1 audit by reviewing the documentation required, including the declaration of the ISMS scope, information security policies, and internal audit reports. The evaluation of the documented information was based on the content and procedure for managing the documented information.

In addition, the auditors found out that the documentation related to information security training and awareness programs was incomplete and lacked essential details. When asked, Sinvestment’s top management stated that the company has provided information security training sessions to all employees.

The stage 2 audit was conducted three weeks after the stage 1 audit. The audit team observed that the marketing department (not included in the audit scope) had no procedures to control employees’ access rights. Since controlling employees ' access rights is one of the ISO/IEC 27001 requirements and was included in the company ' s information security policy, the issue was included in the audit report.

Question

Based on Scenario 6, what methods did the audit team use for evidence collection and analysis during the audit of Sinvestment ' s ISMS?

How does the use of new technologies such as big data impact auditing?