Q: 6
Scenario 10: ProEBank
ProEBank is an Austrian financial institution known for its comprehensive range of banking services.
Headquartered in Vienna, it leaverages the city's advanced technological and financial ecosystem To
enhance its security posture, ProEBank has implementied an information security management
system (ISMS) based on the ISO/IEC 27001. After a year of having the ISMS in place, the company
decided to apply for a certification audit to obtain certification against ISO/IEC 27001.
To prepare for the audit, the company first informed its employees for the audit and organized
training sessions to prepare them. It also prepared documented information in advance, so that the
documents would be ready when external auditors asked to review them Additionally, it determined
which of its employees have the knowledge to help the external auditors understand and evaluate
the processes.
During the planning phase for the audit, ProEBank reviewed the list of assigned auditors provided by
the certification body. Upon reviewing the list, ProEBank identified a potential conflict of interest
with one of the auditors, who had previously worked for ProEBank's mein competitor in the banking
industry To ensure the integrity of the audit process. ProEBank refused to undergo the audit until a
completely new audit team was assigned. In response, the certification body acknowledged the
conflict of interest and made the necessary adjustments to ensure the impartiality of the audit team
After the resolution of this issue, the audit team assessed whether the ISMS met both the standard's
requirements and the company's objectives. During this process, the audit team focused on
reviewing documented information.
Three weeks later, the team conducted an on-site visit to the auditee’s location where they aimed to
evaluate whether the ISMS conformed to the requirements of ISO/IEC 27001. was effectively
implemented, and enabled the auditee to reach its information security objectives. After the on-site
visit the team prepared the audit conclusions and notified the auditee that some minor
nonconformities had been detected The audit team leader then issued a recommendation for
certification.
After receiving the recommendation from the audit team leader, the certification body established a
committee to make the decision for certification. The committee included one member from the
audit team and two other experts working for the certification body.
After the Stage 2 audit, minor nonconformities were found. Despite this, the audit team leader
issued a positive recommendation for certification.
Is this acceptable?
Options
Discussion
B tbh, that's normal for ISO/IEC 27001. Minor nonconformities mean you still can recommend certification, as long as corrective actions are followed up later. Only majors would block the recommendation. Someone correct me if I’m off.
Not convinced by C, minor nonconformities don't require a conditional recommendation. B is right from what I've seen.
Yeah, it's B for me too. Minor nonconformities only require follow-up, not blocking the certification. If it was a major nonconformity then it would be a hard stop, but minors are common and don't prevent a recommendation as long as there's a corrective action later. Pretty sure that's how ISO/IEC 27001 does it, unless I'm missing something.
C seems like a trap-ISO/IEC 27001 allows for a positive recommendation with minor nonconformities, that's not the same as requiring it to be conditional, right?
Minor nonconformities don’t stop the certification recommendation so B is correct.
Its B, minor nonconformities don’t prevent a recommendation according to ISO/IEC 27001 audits I’ve practiced for. C sounds good but is more a trap, only majors block the recommendation. Seen similar wording before, anyone disagree?
B, saw almost this exact scenario in a mock. Minor nonconformities don’t stop the cert recommendation, as long as they’re not majors. Pretty sure that’s how ISO/IEC 27001 audits usually work but open to correction if I missed some detail.
Option B. Minor nonconformities don't block a positive recommendation, as long as they’re addressed in the corrective action plan after. That’s pretty standard in ISO/IEC 27001 audits from what I’ve seen. Maybe the confusion is about majors vs minors here?
I don’t think it’s B. C. Thought a conditional recommendation would be more appropriate until corrective actions are in place, since minor nonconformities aren't just ignored. Maybe missing something in the standard but C makes more sense to me.
Be respectful. No spam.