[Q120-Q135] Exam Questions and Answers for ISO-IEC-27001-Lead-Auditor Study Guide Questions and Answers!

QUESTION 120
What is a repressive measure in case of a fire?

QUESTION 121
You have to carry out a third-party virtual audit. Which two of the following issues would you need to inform the auditee about before you start conducting the audit ?

QUESTION 122
Four types of Data Classification (Choose two)

QUESTION 123
A hacker gains access to a webserver and can view a file on the server containing credit card numbers.
Which of the Confidentiality, Integrity, Availability (CIA) principles of the credit card file are violated?

QUESTION 124
In a joint audit involving multiple audit teams, how many audit team leaders are typically designated per audit?

QUESTION 125
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:
According to Scenario 9, the auditor decided to conduct the extension audit during the surveillance audit. How do you define this situation?

QUESTION 126
Scenario 3: NightCore is a multinational technology company based in the United States that focuses on e-commerce, cloud computing, digital streaming, and artificial intelligence. After having an information security management system (ISMS) implemented for over 8 months, they contracted a certification body to conduct a third party audit in order to get certified against ISO/IEC 27001.
The certification body set up a team of seven auditors. Jack, the most experienced auditor, was assigned as the audit team leader. Over the years, he received many well known certifications, such as the ISO/IEC 27001 Lead Auditor, CISA, CISSP, and CISM.
Jack conducted thorough analyses on each phase of the ISMS audit, by studying and evaluating every information security requirement and control that was implemented by NightCore. During stage 2 audit. Jack detected several nonconformities. After comparing the number of purchased invoices for software licenses with the software inventory, Jack found out that the company has been using the illegal versions of a software for many computers. He decided to ask for an explanation from the top management about this nonconformity and see whether they were aware about this. His next step was to audit NightCore’s IT Department. The top management assigned Tom, NightCore’s system administrator, to act as a guide and accompany Jack and the audit team toward the inner workings of their system and their digital assets infrastructure.
While interviewing a member of the Department of Finance, the auditors discovered that the company had recently made some unusual large transactions to one of their consultants. After gathering all the necessary details regarding the transactions. Jack decided to directly interview the top management.
When discussing about the first nonconformity, the top management told Jack that they willingly decided to use a copied software over the original one since it was cheaper. Jack explained to the top management of NightCore that using illegal versions of software is against the requirements of ISO/IEC 27001 and the national laws and regulations. However, they seemed to be fine with it.
Several months after the audit, Jack sold some of NightCore’s information that he collected during the audit for a huge amount of money to competitors of NightCore.
Based on this scenario, answer the following question:
According to scenario 3, which audit principle has Jack compromised when he sold NightCore’s information after the audit?

QUESTION 127
Scenario 3: Rebuildy is a construction company located in Bangkok.. Thailand, that specializes in designing, building, and maintaining residential buildings. To ensure the security of sensitive project data and client information, Rebuildy decided to implement an ISMS based on ISO/IEC 27001. This included a comprehensive understanding of information security risks, a defined continual improvement approach, and robust business solutions.
The ISMS implementation outcomes are presented below
* Information security is achieved by applying a set of security controls and establishing policies, processes, and procedures.
* Security controls are implemented based on risk assessment and aim to eliminate or reduce risks to an acceptable level.
* All processes ensure the continual improvement of the ISMS based on the plan-do-check-act (PDCA) model.
* The information security policy is part of a security manual drafted based on best security practices Therefore, it is not a stand-alone document.
* Information security roles and responsibilities have been clearly stated in every employees job description
* Management reviews of the ISMS are conducted at planned intervals.
Rebuildy applied for certification after two midterm management reviews and one annual internal audit Before the certification audit one of Rebuildy’s former employees approached one of the audit team members to tell them that Rebuildy has several security problems that the company is trying to conceal. The former employee presented the documented evidence to the audit team member Electra, a key client of Rebuildy, also submitted evidence on the same issues, and the auditor determined to retain this evidence instead of the former employee’s. The audit team member remained in contact with Electra until the audit was completed, discussing the nonconformities found during the audit. Electra provided additional evidence to support these findings.
At the beginning of the audit, the audit team interviewed the company’s top management They discussed, among other things, the top management’s commitment to the ISMS implementation. The evidence obtained from these discussions was documented in written confirmation, which was used to determine Rebuildy’s conformity to several clauses of ISO/IEC 27001 The documented evidence obtained from Electra was attached to the audit report, along with the nonconformities report. Among others, the following nonconformities were detected:
* An instance of improper user access control settings was detected within the company’s financial reporting system.
* A stand-alone information security policy has not been established. Instead, the company uses a security manual drafted based on best security practices.
After receiving these documents from the audit team, the team leader met Rebuildy’s top management to present the audit findings. The audit team reported the findings related to the financial reporting system and the lack of a stand-alone information security policy. The top management expressed dissatisfaction with the findings and suggested that the audit team leader’s conduct was unprofessional, implying they might request a replacement. Under pressure, the audit team leader decided to cooperate with top management to downplay the significance of the detected nonconformities. Consequently, the audit team leader adjusted the report to present a more favorable view, thus misrepresenting the true extent of Rebuildy’s compliance issues.
Based on the scenario above, answer the following question:
Is it acceptable for the auditor to prioritize keeping the evidence provided by Electra over the evidence provided by the former employee?

QUESTION 128
The computer room is protected by a pass reader. Only the System Management department has a pass.
What type of security measure is this?

QUESTION 129
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?

QUESTION 130
You have just completed a scheduled information security audit of your organisation when the IT Manager approaches you and asks for your assistance in the revision of the company’s risk management process.
He is attempting to update the current documentation to make it easier for other managers to understand, however, it is clear from your discussion he is confusing several key terms.
You ask him to match each of the descriptions with the appropriate risk term. What should the correct answers be?

QUESTION 131
The following options are key actions involved in a first-party audit. Order the stages to show the sequence in which the actions should take place.

QUESTION 132
Scenario 8: EsBank provides banking and financial solutions to the Estonian banking sector since September
2010. The company has a network of 30 branches with over 100 ATMs across the country.
Operating in a highly regulated industry, EsBank must comply with many laws and regulations regarding the security and privacy of data. They need to manage information security across their operations by implementing technical and nontechnical controls. EsBank decided to implement an ISMS based on ISO/IEC
27001 because it provided better security, more risk control, and compliance with key requirements of laws and regulations.
Nine months after the successful implementation of the ISMS, EsBank decided to pursue certification of their ISMS by an independent certification body against ISO/IEC 27001 .The certification audit included all of EsBank’s systems, processes, and technologies.
The stage 1 and stage 2 audits were conducted jointly and several nonconformities were detected. The first nonconformity was related to EsBank’s labeling of information. The company had an information classification scheme but there was no information labeling procedure. As a result, documents requiring the same level of protection would be labeled differently (sometimes as confidential, other times sensitive).
Considering that all the documents were also stored electronically, the nonconformity also impacted media handling. The audit team used sampling and concluded that 50 of 200 removable media stored sensitive information mistakenly classified as confidential. According to the information classification scheme, confidential information is allowed to be stored in removable media, whereas storing sensitive information is strictly prohibited. This marked the other nonconformity.
They drafted the nonconformity report and discussed the audit conclusions with EsBank’s representatives, who agreed to submit an action plan for the detected nonconformities within two months.
EsBank accepted the audit team leader’s proposed solution. They resolved the nonconformities by drafting a procedure for information labeling based on the classification scheme for both physical and electronic formats.
The removable media procedure was also updated based on this procedure.
Two weeks after the audit completion, EsBank submitted a general action plan. There, they addressed the detected nonconformities and the corrective actions taken, but did not include any details on systems, controls, or operations impacted. The audit team evaluated the action plan and concluded that it would resolve the nonconformities. Yet, EsBank received an unfavorable recommendation for certification.
Based on the scenario above, answer the following question:
Which option justifies the unfavorable recommendation for certification? Refer to scenario 8.

QUESTION 133
ISMS (1)—————helps determine (2)————–,

QUESTION 134
Select a word from the following options that best completes the sentence:
To complete the sentence with the word(s) click on the blank section you want to complete so that it is highlighted in red, and then click on the application text from the options below. Alternatively, you may drag and drop the option to the appropriate blank section.

QUESTION 135
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.
Based on this scenario, answer the following question:
Based on scenario 1, the chatbot was unable to properly answer customer queries. Which principle of information security has been affected in this case?