ISO-IEC-27001-LEAD-AUDITOR Real Exam Questions
289 questions available · Page 1 of 29
Updated Exam DumpsVerified AnswersPass Guarantee
You are an experienced audit team leader conducting a third-party surveillance audit of an organisation that designs websites for its clients. You are currently reviewing the organisation's Statement of Applicability.
Based on the requirements of ISO/IEC 27001, which two of the following observations about the Statement of Applicability are false?
Correct answers: B, D
The audit team leader prepares the audit plan for an initial certification stage 2 audit to ISO/IEC
27001:2022.
Which one of the following statements is true?
Correct answer: D
This statement is true because the audit team leader should communicate the audit plan to the audit client and the auditee, and obtain their approval before conducting the audit. The audit plan should include the audit objectives, scope, criteria, methods, schedule, resources, roles and responsibilities, and other relevant information. The audit plan should also be reviewed and updated as necessary during the audit process, and any changes should be agreed upon by the audit team leader, the audit client, and the auditee. The purpose of reviewing and agreeing on the audit plan is to ensure that the audit is conducted in an efficient and effective manner, and that the audit expectations and requirements are clear and consistent among all parties involved.
References:
1: PECB Candidate Handbook - ISO 27001 Lead Auditor, page 23
2: ISO 19011:2018 - Guidelines for auditing management systems, clause 6.4.2
You are an ISMS auditor conducting a third-party surveillance audit of a telecom's provider. You are in the equipment staging room where network switches are pre-programmed before being despatched to clients.
You note that recently there has been a significant increase in the number of switches failing their initial configuration test and being returned for reprogramming.
You ask the Chief Tester why and she says, 'It's a result of the recent ISMS upgrade'. Before the upgrade each technician had their own hard copy work instructions. Now, the eight members of my team have to share two laptops to access the clients' configuration instructions online. These delays put pressure on the technicians, resulting in more mistakes being made'.
Based solely on the information above, which clause of ISO/IEC 27001:2022 would be the most appropriate to raise a nonconformity against? Select one.
Correct answer: D
You are conducting a third-party surveillance audit when another member of the audit team approaches you seeking clarification. They have been asked to assess the organisation's application of control 5.7 -
Threat Intelligence. They are aware that this is one of the new controls introduced in the 2022 edition of ISO/IEC 27001, and they want to make sure they audit the control correctly.
They have prepared a checklist to assist them with their audit and want you to confirm that their planned activities are aligned with the control's requirements.
Which three of the following options represent valid audit trails?
Correct answers: A, D, E
The options that represent valid audit trails for assessing the organisation's application of control 5.7 -
Threat Intelligence, according to ISO/IEC 27001:2022, are:
Option A: I will determine whether internal and external sources of information are used in the production of threat intelligence. This is relevant because effective threat intelligence typically requires gathering information from multiple sources to be comprehensive.
Option D: I will check that the organisation has a fully documented threat intelligence process. Proper documentation is a core requirement in ISO standards to ensure processes are defined, implemented, and maintained consistently.
Option E: I will check that threat intelligence is actively used to protect the confidentiality, integrity, and availability of the organisation's information assets. This verifies that the output of threat intelligence is being used effectively within the organisation's information security practices.
Which one of the following options best describes the main purpose of a Stage 2 third-party audit?
Correct answer: C
The main purpose of a Stage 2 third-party audit is to evaluate the implementation and effectiveness of the organisation's management system and to identify any nonconformances against the requirements of the standard. The other options are either the objectives of a Stage 1 audit (A, D) or a specific aspect of the audit scope (B).
References:
1: ISO/IEC 27006:2022, Information technology -- Security techniques -- Requirements for
bodies providing audit and certification of information security management systems, Clause 9.2 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 4: Preparing an ISO/IEC
27001 audit
Which two of the following options are an advantage of using a sampling plan for the audit?
Correct answers: B, D
A sampling plan for the audit is a method of selecting a representative subset of the audit evidence to evaluate the conformity of the ISMS.
The advantages of using a sampling plan are:
It reduces the audit duration by focusing on the most relevant and significant aspects of the ISMS.
It gives confidence in the audit results by ensuring that the sample is sufficient, reliable, and unbiased.
References:
1: ISMS Auditing Guideline - ISO27000, page 9;
2: Internal Audit Plan ?ISO Templates and Documents Download;
3: A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit, Step
4
: ISMS Auditing Guideline - ISO27000
: Internal Audit Plan - ISO Templates and Documents
Download
: A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit
DRAG DROP
You are an experienced ISMS audit team leader providing instruction to an auditor in training. They are unclear in their understanding of risk processes and ask you to provide them with an example of each of the processes detailed below.
Match each of the descriptions provided to one of the following risk management processes.
To complete the table click on the blank section you want to complete so that it is highlighted in red, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.
Risk analysis is the process by which the nature of the risk is determined along with its probability and impact. Risk analysis involves estimating the likelihood and consequences of potential events or situations that could affect the organization's information security objectives or requirements. Risk analysis could use qualitative or quantitative methods, or a combination of both. Risk management is the process by which a risk is controlled at all stages of its life cycle by means of the application of organisational policies, procedures and practices. Risk management involves establishing the context, identifying, analyzing, evaluating, treating, monitoring, and reviewing the risks that could affect the organization's information security performance or compliance. Risk management aims to ensure that risks are identified and treated in a timely and effective manner, and that opportunities for improvement are exploited. Risk identification is the process by which a risk is recognised and described. Risk identification involves identifying and documenting the sources, causes, events, scenarios, and potential impacts of risks that could affect the organization's information security objectives or requirements. Risk identification could use various techniques, such as brainstorming, interviews, checklists, surveys, or historical data.
Risk evaluation is the process by which the impact and/or probability of a risk is compared against risk criteria to determine if it is tolerable. Risk evaluation involves comparing the results of risk analysis with predefined criteria that reflect the organization's risk appetite, tolerance, or acceptance. Risk evaluation could use various methods, such as ranking, scoring, or matrix. Risk evaluation helps to prioritize and decide on the appropriate risk treatment options. Risk mitigation is the process by which the impact and/or probability of a risk is reduced by means of the application of controls. Risk mitigation involves selecting and implementing measures that are designed to prevent, reduce, transfer, or accept risks that could affect the organization's information security objectives or requirements. Risk mitigation could include various types of controls, such as technical, organizational, legal, or physical. Risk mitigation should be based on a cost-benefit analysis and a residual risk assessment. Risk transfer is the process by which a risk is passed to a third party, for example through obtaining appropriate insurance. Risk transfer involves sharing or shifting some or all of the responsibility or liability for a risk to another party that has more capacity or capability to manage it. Risk transfer could include various methods, such as contracts, agreements, partnerships, outsourcing, or insurance. Risk transfer should not be used as a substitute for effective risk management within the organization.
References:
ISO/IEC 27001:2022 Information technology -- Security techniques -- Information security management
systems -- Requirements
ISO/IEC 27005:2022 Information technology -- Security techniques -- Information security risk
management
DRAG DROP
Select the words that best complete 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.
competence of the audit team and decision made by the certification body According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, an accredited certification means that the certification body has been evaluated by an accreditation body against recognized standards to demonstrate its competence, impartiality and performance capability.
Therefore, an accredited certification assures the competence of the audit team that conducts the audit in accordance with ISO 19011 and ISO/IEC 27001:2022, and the decision made by the certification body that grants or maintains the certification based on the audit evidence and findings.
References:
ISO/IEC 17021-1:2015 - Conformity assessment
Requirements for bodies providing audit and certification of management systems Part 1: Requirements, ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) |
CQI | IRCA
Below is Purpose of "Integrity", which is one of the Basic Components of Information Security
Correct answer: B
Integrity is one of the basic components of information security, along with confidentiality and availability.
Integrity means that information is safeguarded from unauthorized or accidental changes that could affect its accuracy and completeness. Integrity ensures that information is reliable and trustworthy 3.
References:
ISO /IEC 27001:2022 Lead Auditor Training Course - BSI
You are an ISMS audit team leader preparing to chair a closing meeting following a third-party surveillance audit. You are drafting a closing meeting agenda setting out the topics you wish to discuss with your auditee.
Which one of the following would be appropriate for inclusion?
Correct answer: C
This option is appropriate for inclusion in the closing meeting agenda, as it is a requirement of the ISO 19011 standard, which provides guidelines for auditing management systems, including ISMS12. The standard states that the audit team leader should advise the auditee of any situations encountered during the audit that may decrease the confidence that can be placed in the audit conclusions, such as limitations in the audit scope, access, or sampling 3. The standard also states that the audit report should include a statement that the audit is based on a sample of the information available at the time of the audit, and that the audit does not provide absolute assurance of the conformity or effectiveness of the audited management system 4. Therefore, the audit team leader should include a disclaimer in the closing meeting agenda to inform the auditee of the nature and limitations of the audit, and to avoid any misunderstandings or false expectations. The other options are not appropriate for inclusion in the closing meeting agenda, as they are either irrelevant, incorrect, or incomplete. For example:
A detailed explanation of the certification body's complaints process is not relevant for the closing meeting agenda, as it is not related to the audit findings or conclusions. The certification body's complaints process should be communicated to the auditee before the audit, as part of the audit agreement or contract 5.
An explanation of the audit plan and its purpose is not correct for the closing meeting agenda, as it should have been done at the opening meeting or before the audit. The audit plan is a document that describes the scope, objectives, criteria, and methodology of the audit, as well as the audit schedule, the audit team, the audit locations, and the audit deliverables . The audit plan should be communicated and agreed with the auditee in advance, and any changes or deviations should be notified during the audit.
Names of auditees associated with nonconformities are not complete for the closing meeting agenda, as they do not provide the details or the evidence of the nonconformities. The audit team leader should present the audit findings, which include the description, the audit criteria, and the audit evidence of each nonconformity, as well as the audit conclusions and the audit recommendation . The audit team leader should also avoid naming or blaming individuals, and focus on the processes and the system.
References:
1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page
222: ISO 19011:2018
Guidelines for auditing management systems, clause 13: ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.94: ISO 19011:2018 Guidelines for auditing management systems, clause 7.5.25: ISO/IEC 17021-1:2015
Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management
systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology -- Security techniques -- Guidelines
for information security management systems auditing, clause 6.2.1. : ISO 19011:
2018 Guidelines for auditing management systems, clause 6.4.2. : ISO 19011:2018 Guidelines for auditing
management systems, clause 6.4.10. : ISO/IEC 27007:2011 Information technology -- Security techniques
-- Guidelines for information security management systems auditing, clause 6.3.3.