PECB ISO-IEC-27001-Lead-Auditor Exam With Confidence Using Practice Dumps

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:

Based on scenario 4, the auditors requested documentary evidence regarding the monitoring process of outsourced operations. What does this indicate?

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.

According to scenario 1, the chatbot sent random files to users when it received invalid inputs. What impact might that lead to?

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:

Based on scenario 7, what should Lawsy do prior to the initiation of stage 2 audit?