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Lead Auditor PECB Practice Test Questions and Exam Dumps

Question No 1:

Which of the following situations represents a vulnerability in Northstorm's systems?

A. The new version of the application directly affected the main server
B. The need for a replacement version of the application
C. The new version of the application was not legitimate

Answer: C

Explanation:

In the given scenario, the main vulnerability in Northstorm's systems arises from the installation of a compromised version of the YouDecide application due to insufficient validation. This vulnerability highlights the lack of proper testing and quality assurance before implementing updates or patches to critical systems. When the application was patched hastily without proper validation, it resulted in the installation of an illegitimate version that caused security issues, including the disruption of services and the main server being affected. The website went offline for a week due to this incident, which demonstrates the significant risk posed by unauthorized or unverified updates.

Let's break down the other options:

• A. The new version of the application directly affected the main server: While this is indeed a consequence of the vulnerability, it is more of an effect rather than the root cause. The real vulnerability comes from the compromised application that was installed, not just the impact it had on the server.
  
  

• B. The need for a replacement version of the application: This situation points to the fact that the application was outdated or incompatible, but it does not directly address the security vulnerability. The need for a replacement does not inherently represent a vulnerability, especially when the issue arises from improper validation before patching.

In summary, the core vulnerability lies in the installation of an unverified, compromised application, which directly contributed to the website's downtime and operational issues.

Question No 2:

Which principle of information security has been affected regarding the website issue in this scenario?

A. Availability
B. Integrity
C. Confidentiality

Answer: A

Explanation:

In this scenario, the most impacted principle of information security is availability, as Nordstrom's website was offline for an extended period due to a security issue. The concept of availability in information security refers to ensuring that systems and data are accessible and operational when needed. In this case, the company’s website became unavailable for a week after a patch was applied to the application without proper validation, resulting in the system crashing. This downtime directly affected users' ability to access the website, make purchases, and interact with the online services, which is a clear violation of the availability principle.

The core issue stemmed from incompatibility between the application and the upgraded operating system, leading to failure in order processing and ultimately the website crashing. The inability to access the website for a week highlights how the system’s availability was compromised, impacting both customer experience and business operations. Therefore, this is a clear example of availability being compromised due to a system failure that made the website inaccessible for users.

On the other hand, integrity relates to ensuring that the data within the system is accurate and reliable. While the upgrade and patching process caused technical issues, the focus here is on the fact that the website’s unavailability, rather than data corruption or manipulation, led to the security lapse. The issue wasn’t about data being compromised or modified; it was about the failure to provide access to the service.

As for confidentiality, this principle ensures that sensitive data is protected from unauthorized access or disclosure. While Northstorm took steps to review user access rights and signed confidentiality agreements before transitioning hosting, the central problem in this scenario was not related to unauthorized access or exposure of sensitive data. Rather, it was about the system’s failure to operate properly and serve customers, making availability the most relevant principle impacted.

Thus, the key issue in this scenario is the unavailability of the website due to technical and security failures, which falls under the principle of availability in information security.

Question No 3:

Which of the following is a preventive control based on the scenario?

A. Using an application that prioritized orders based on its prior knowledge
B. Signing a confidentiality agreement
C. Expanding the capacity of the in-house data center

Answer: B

Explanation:

A preventive control is designed to stop a problem from occurring in the first place by addressing the root causes and preventing undesirable outcomes. In this case, signing a confidentiality agreement is a preventive control because it directly safeguards sensitive company information, such as product ownership, before the transition to an e-commerce provider. The confidentiality agreement ensures that the outsourced provider cannot misuse or disclose the company’s intellectual property, reducing the risk of data theft or unauthorized access. This proactive step prevents potential security breaches and ensures that both parties understand and adhere to security expectations.

Now, let's explain why the other options do not qualify as preventive controls:

• A. Using an application that prioritized orders based on its prior knowledge: While the idea of using an application to prioritize orders seems like a good business decision, the YouDecide application faced compatibility issues with the new operating system, and the patching process was rushed without proper validation. This led to a compromised version of the application, causing the main server to fail. This situation highlights a corrective action (patching the application after the issue occurred) rather than a preventive control to avoid the problem beforehand.
  
  

• C. Expanding the capacity of the in-house data center: Expanding the data center capacity might seem like a way to address performance issues, but it ultimately failed to meet Northstorm’s evolving needs and contributed to challenges with responsiveness. This action can be viewed as reactive or corrective because it attempted to fix capacity problems after they became evident, rather than preventing problems from occurring through careful planning, proper infrastructure, or more adaptive solutions.
  
  

Thus, B is the correct answer because signing a confidentiality agreement is a proactive step that prevents potential risks related to sensitive information and intellectual property.

Question No 4:

According to the scenario, Northstorm reviewed users' access rights. What is the type and function of this security control?

A. Detective and administrative
B. Corrective and managerial
C. Legal and technical

Answer: A

Explanation:

Reviewing users' access rights is a form of detective control because it allows the company to identify any unauthorized or inappropriate access to its systems after it has occurred. This type of control helps detect issues with access rights, ensuring that the right individuals have the proper permissions to access sensitive data or systems. It functions to monitor and identify vulnerabilities in the system, so that the company can respond to any potential threats or unauthorized activities.

In addition, it also qualifies as an administrative control because it is a management-driven process that involves reviewing, auditing, and adjusting the rights assigned to users. Administrative controls typically deal with the processes and policies established by management to ensure that security practices, such as user access rights, align with the organization’s goals and standards.

Let’s break down the other options:

• B. Corrective and managerial: Corrective controls aim to fix or mitigate issues after they have been detected, such as patching software or restoring systems. However, reviewing access rights is a more proactive step that identifies potential issues before they escalate into larger problems, so it does not fully fit the definition of a corrective control. Managerial controls are typically more focused on overseeing and managing the entire security process, and while reviewing access rights is a management-driven task, it’s more accurately categorized as detective and administrative, not managerial or corrective.
  
  

• C. Legal and technical: While reviewing user access rights can be part of legal or compliance requirements, this control type is not primarily concerned with legal aspects like compliance with laws or technical controls that manage access at the system or hardware level. This action is more about identifying potential threats or errors in access permissions, which aligns more with detective and administrative controls.

Thus, A is the correct answer because it accurately reflects the purpose and function of reviewing users' access rights as a detective and administrative control.

Question No 5:

Based on the scenario, which international standard did Northstorm adopt during the second phase of expansion?

A. ISO/IEC 27701
B. ISO/IEC 27009
C. ISO/IEC 27003

Answer: A

Explanation:

In the scenario, Northstorm adopted an international standard for personal identifiable information (PII) controllers and PII processors in the second phase of its expansion. The correct international standard in this case is ISO/IEC 27701, which is specifically designed for privacy information management systems. ISO/IEC 27701 provides guidelines for managing and protecting personal data, specifically addressing the roles of controllers and processors in the handling of personal data. This aligns with the focus on PII processing and ensuring that data handling practices are secure and compliant with global regulations, which is mentioned in the scenario.

ISO/IEC 27009 (Option B) refers to sector-specific standards within the ISO/IEC 27000 series on information security management, which is not specifically focused on privacy or PII processing. While it relates to information security, it does not directly address the specific needs of PII controllers and processors as ISO/IEC 27701 does.

ISO/IEC 27003 (Option C) is a standard related to the implementation guidance for information security management systems. While it provides useful information for implementing information security frameworks, it does not specifically address the management of personal identifiable information (PII), which is the main concern mentioned in the scenario.

Thus, A is the correct answer because ISO/IEC 27701 is the international standard focused on the management and protection of personal data, which directly aligns with Northstorm's efforts to ensure compliance with global data protection regulations.

Question No 6:

After an information security incident, an organization created a comprehensive backup procedure involving regular, automated backups of all critical data to offsite storage locations. By doing so, 

Which principle of information security is the organization applying in this case?

A. Integrity
B. Confidentiality
C. Availability

Answer: C

Explanation:

In this scenario, the organization is focusing on ensuring that its critical data remains accessible and recoverable in the event of a disaster or incident, which directly relates to the availability principle of information security. Availability ensures that authorized users have access to information and resources when needed. By implementing regular, automated backups to offsite storage locations, the organization is ensuring that its critical data is not only protected from potential loss but can also be restored quickly if needed, thus maintaining availability of the data even in the event of a failure or incident.

The integrity principle (Option A) refers to ensuring that the data is accurate, complete, and has not been altered or tampered with. While the backup procedure may help preserve data integrity by preventing loss, the primary goal of the backups is to ensure the data is available when needed, not necessarily to verify or maintain its correctness or completeness.

The confidentiality principle (Option B) involves ensuring that data is only accessible to authorized individuals. While the offsite storage solution could be designed with security measures to protect confidentiality, the focus in this case is not on restricting access but on ensuring that the data remains accessible during an incident. Therefore, confidentiality is not the primary principle being applied here.

Thus, C is the correct answer because the backup procedure is designed to ensure availability of critical data, ensuring that the organization can recover from disruptions and continue operating.

Question No 7:

What kind of vulnerability is described by the data processing tool crashing when a user adds more data to the buffer than its storage capacity allows, caused by the tool's inability to bound check arrays?

A. Intrinsic vulnerability, i.e., inability to bound check arrays, is a characteristic of the data processing tool
B. Extrinsic vulnerability, i.e., the exploit of the buffer overflow vulnerability, is caused by an external factor
C. None; buffer overflow is not a vulnerability; it is a threat

Answer:
A

Explanation:

The scenario describes a buffer overflow vulnerability caused by the tool's inability to bound check arrays. This means that the tool was designed in such a way that it could not properly check whether the data being added exceeded the array's storage capacity. This is an example of an intrinsic vulnerability, which refers to a flaw that is inherent in the design or implementation of the software itself. The inability to bound check arrays is a characteristic of the tool that exposes it to the risk of buffer overflow. This issue arises from a deficiency in the software's handling of memory, rather than an external attack or action.

Extrinsic vulnerabilities, on the other hand, are typically caused by external factors, such as an attacker exploiting a flaw in the system. In this case, the issue was not caused by an external attacker, but by the tool's internal design flaw. The tool's failure to properly bound check the array is a vulnerability in its code that leads to a buffer overflow, not an exploitation of the vulnerability by an external actor.

Finally, a buffer overflow is a vulnerability—not a threat—because it refers to a flaw in the software's design or implementation that can be exploited to cause harm, such as a crash or unintended behavior. A threat, in contrast, would be an event or actor (e.g., a hacker) that exploits the vulnerability to harm the system. Therefore, C is incorrect in this context.

Question No 8:

Which of the following best defines managerial controls?

A. Controls related to the management of personnel, including training of employees, management reviews, and internal audits
B. Controls related to organizational structure, such as segregation of duties, job rotations, job descriptions, and approval processes
C. Controls related to the use of technical measures or technologies, such as firewalls, alarm systems, surveillance cameras, and IDSs

Answer: A

Explanation:

Managerial controls are typically focused on the management and oversight of organizational processes, particularly in relation to personnel. They include training of employees, management reviews, and internal audits, which are designed to ensure that employees understand security policies and that their performance is monitored for compliance. These controls aim to provide a framework for governance and accountability within an organization.

Option B refers to administrative controls, which involve the structure and responsibilities within an organization, such as segregation of duties, job rotations, job descriptions, and approval processes. While these are important for internal controls, they are more related to organizational structure and oversight rather than specific managerial activities.

Option C relates to technical controls, which are focused on the use of technology to secure systems and data. Examples of technical controls include firewalls, alarm systems, surveillance cameras, and intrusion detection systems (IDS), which directly manage and enforce security through automated or mechanical measures.

Thus, A is the correct answer because it best describes managerial controls, which focus on overseeing personnel management, training, and audits to ensure compliance with security policies and procedures.

Question No 9:

What is the objective of penetration testing in the risk assessment process?

A. To conduct thorough code reviews
B. To identify potential failures in the ICT protection schemes
C. To physically inspect hardware components

Answer: B

Explanation:

The primary objective of penetration testing in the risk assessment process is to identify potential failures in the ICT (Information and Communication Technology) protection schemes. Penetration testing involves simulating cyberattacks on a system or network to uncover vulnerabilities that could be exploited by attackers. The goal is to identify weaknesses in the system's security measures, such as firewalls, encryption, access controls, and other protective mechanisms, so they can be addressed before an actual attack occurs. This process helps organizations assess their risk exposure and enhance the security of their infrastructure.

Option A, conducting thorough code reviews, refers to an approach that focuses on identifying bugs or vulnerabilities within the source code of applications. While code reviews are a valuable security measure, they are not the primary goal of penetration testing. Code reviews focus on the source code itself, while penetration testing targets the overall security of a system by attempting to exploit potential vulnerabilities from an external perspective.

Option C, to physically inspect hardware components, refers to a different type of security inspection, typically related to hardware security and physical access controls. While physical inspections are crucial for securing physical assets, penetration testing is primarily concerned with assessing the security posture of a system through simulated cyberattacks, not through physical inspections.

Therefore, B is the correct answer because penetration testing specifically aims to identify weaknesses and vulnerabilities in ICT protection schemes that could be exploited in a real-world cyberattack scenario.

Question No 10:

Which controls are related to the Annex A controls of ISO/IEC 27001 and are often selected from other guides and standards or defined by the organization to meet its specific needs?

A. General controls
B. Strategic controls
C. Specific controls

Answer: C

Explanation:

In the context of ISO/IEC 27001, Annex A outlines a set of controls that organizations should consider implementing to establish and maintain an information security management system (ISMS). These controls are broad, covering various aspects of information security such as organizational measures, people management, access controls, cryptographic controls, and physical security. However, specific controls go beyond the Annex A set, as they are selected from other guides, standards, or defined internally by the organization to address specific security requirements and risks that are unique to its environment. These are tailored to meet the organization's specific security needs, depending on the business context, threat landscape, and regulatory requirements.

A. General controls typically refer to foundational security controls that apply broadly across systems and processes. While general controls are essential for establishing a secure environment, they do not necessarily relate to the additional, more specific controls chosen based on an organization’s unique circumstances.

B. Strategic controls are more focused on higher-level management decisions, organizational strategies, and long-term goals. These are typically not directly related to the operational or technical controls that are implemented as part of an ISMS.

Thus, C is the correct answer because specific controls are those that are often selected from various standards, guides, or defined by the organization itself to address specific risks and security needs not fully covered by the Annex A controls of ISO/IEC 27001.