PECB ISO-IEC-27001-Lead-Implementer Exam Questions

What is the primary requirement for the documented information of an ISMS?

Scenario 10:

NetworkFuse is a leading company that specializes in the design, production, and distribution of network hardware products. Over the past two years, NetworkFuse has maintained an operational Information Security Management System (ISMS) based on ISO/IEC 27001 requirements and a Quality Management System (QMS) based on ISO 9001. These systems are designed to ensure the company's commitment to both information security and the highest quality standards.

To further demonstrate its dedication to best practices and industry standards, NetworkFuse recently scheduled a combined certification audit. This audit seeks to validate NetworkFuse's compliance with both ISO/IEC 27001 and ISO 9001, showcasing the company's strong commitment to maintaining high standards in information security management and quality management. The process began with the careful selection of a certification body. NetworkFuse then took steps to prepare its employees for the audit, which was crucial for ensuring a smooth and successful audit process. Additionally, NetworkFuse appointed individuals to manage the ISMS and the QMS.

NetworkFuse decided not to conduct a self-evaluation before the audit, a step often taken by organizations to proactively identify potential areas for improvement. The company's top management believed such an evaluation was unnecessary, confident in their existing systems and practices. This decision reflected their trust in the robustness of their ISMS and QMS. As part of the preparations, NetworkFuse took careful measures to ensure that all necessary documented information---including internal audit reports, management reviews, technological infrastructure, and the overall functioning of the ISMS and QMS---was readily available for the audit. This information would be vital in demonstrating their compliance with the ISO standards.

During the audit, NetworkFuse requested that the certification body not carry documentation off-site. This request stemmed from their commitment to safeguarding sensitive and proprietary information, reflecting their desire for maximum security and control during the audit process. Despite meticulous preparations, the actual audit did not proceed as scheduled. NetworkFuse raised concerns about the assigned audit team leader and requested a replacement. The company asserted that the same audit team leader had previously issued a recommendation for certification to one of NetworkFuse's main competitors. This potential conflict of interest raised concerns among the company's top management. However, the certification body rejected NetworkFuse's request for a replacement, and the audit process was canceled.

Which of the following actions is NOT a requirement for NetworkFuse in preparing for the certification audit?

Scenario 9:

OpenTech, headquartered in San Francisco, specializes in information and communication technology (ICT) solutions. Its clientele primarily includes data communication enterprises and network operators. The company's core objective is to enable its clients to transition smoothly into multi-service providers, aligning their operations with the complex demands of the digital landscape.

Recently, Tim, the internal auditor of OpenTech, conducted an internal audit that uncovered nonconformities related to their monitoring procedures and system vulnerabilities. In response to these nonconformities, OpenTech decided to employ a comprehensive problem-solving approach to address the issues systematically. This method encompasses a team-oriented approach, aiming to identify, correct, and eliminate the root causes of the issues. The approach involves several steps: First, establish a group of experts with deep knowledge of processes and controls. Next, break down the nonconformity into measurable components and implement interim containment measures. Then, identify potential root causes and select and verify permanent corrective actions. Finally, put those actions into practice, validate them, take steps to prevent recurrence, and recognize and acknowledge the team's efforts.

Following the analysis of the root causes of the nonconformities, OpenTech's ISMS project manager, Julia, developed a list of potential actions to address the identified nonconformities. Julia carefully evaluated the list to ensure that each action would effectively eliminate the root cause of the respective nonconformity. While assessing potential corrective actions, Julia identified one issue as significant and assessed a high likelihood of its recurrence. Consequently, she chose to implement temporary corrective actions. Julia then combined all the nonconformities into a single action plan and sought approval from top management. The submitted action plan was written as follows:

"A new version of the access control policy will be established and new restrictions will be created to ensure that network access is effectively managed and monitored by the Information and Communication Technology (ICT) Department."

However, Julia's submitted action plan was not approved by top management. The reason cited was that a general action plan meant to address all nonconformities was deemed unacceptable. Consequently, Julia revised the action plan and submitted separate ones for approval. Unfortunately, Julia did not adhere to the organization's specified deadline for submission, resulting in a delay in the corrective action process. Additionally, the revised action plans lacked a defined schedule for execution.

Did Julia's approach to submitting action plans for addressing nonconformities align with best practices?

Scenario 8: SunDee is a biopharmaceutical firm headquartered in California, US. Renowned for its pioneering work in the field of human therapeutics, SunDee places a strong emphasis on addressing critical healthcare concerns, particularly in the domains of cardiovascular diseases, oncology, bone health, and inflammation. SunDee has demonstrated its commitment to data security and integrity by maintaining an effective information security management system (ISMS) based on ISO/IEC 27001 for the past two years.

In preparation for the recertification audit, SunDee conducted an internal audit. The company's top management appointed Alex, who has actively managed the Compliance Department's day-to-day operations for the last six months, as the internal auditor. With this dual role assignment, Alex is tasked with conducting an audit that ensures compliance and provides valuable recommendations to improve operational efficiency.

During the internal audit, a few nonconformities were identified. To address them comprehensively, the company created action plans for each nonconformity, working closely with the audit team leader.

SunDee's senior management conducted a comprehensive review of the ISMS to evaluate its appropriateness, sufficiency, and efficiency. This was integrated into their regular management meetings. Essential documents, including audit reports, action plans, and review outcomes, were distributed to all members before the meeting. The agenda covered the status of previous review actions, changes affecting the ISMS, feedback, stakeholder inputs, and opportunities for improvement. Decisions and actions targeting ISMS improvements were made, with a significant role played by the ISMS coordinator and the internal audit team in preparing follow-up action plans, which were then approved by top management.

In response to the review outcomes, SunDee promptly implemented corrective actions, strengthening its information security measures. Additionally, dashboard tools were introduced to provide a high-level overview of key performance indicators essential for monitoring the organization's information security management. These indicators included metrics on security incidents, their costs, system vulnerability tests, nonconformity detection, and resolution times, facilitating effective recording, reporting, and tracking of monitoring activities. Furthermore, SunDee embarked on a comprehensive measurement process to assess the progress and outcomes of ongoing projects, implementing extensive measures across all processes. The top management determined that the individual responsible for the information, aside from owning the data that contributes to the measures, would also be designated accountable for executing these measurement activities.

Based on the scenario above, answer the following question:

Is Alex suitable for the position of internal auditor within the company?

What does the organization still need to manage when using Platform as a Service (PaaS)?