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
Option B. Minor nonconformities don’t block the recommendation, only majors do. C is tempting but not how ISO/IEC 27001 audit works. Seen similar in exam practice, but happy to hear otherwise.
Not a blocker if they're only minor nonconformities, so B is fine. ISO/IEC 27001 lets the audit team recommend certification as long as there are no majors. Had similar on practice sets and that's how it's handled, unless there's a twist in the scenario wording I'm missing.
C tbh, minor nonconformities should get an action plan before full recommendation. Trap is thinking B always applies.
C. not B. Seen something like this in some practice tests. Also worth checking the official guide for audit process examples.
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.
B not A
B . Minor nonconformities aren’t a showstopper, only majors are in ISO/IEC 27001 audit findings.
Had something like this in a mock, B is right. Minor nonconformities don't block the recommendation for ISO/IEC 27001, only majors would. You still need corrective actions but the audit team can recommend anyway. Pretty sure that's standard process, unless guidelines change.
This looks like one from my exam last year. in official mock exams. B
I think it's actually C here. Auditors should require corrective plans before the recommendation is final, right?
Be respectful. No spam.