PECB ISO-IEC-27001-LEAD-AUDITOR Online Practice Questions and Exam Preparation

PECB ISO-IEC-27001-LEAD-AUDITOR Online Questions & Answers

• Question 101:

  You have a hard copy of a customer design document that you want to dispose off. What would you do

  A. Throw it in any dustbin
  B. Shred it using a shredder
  C. Give it to the office boy to reuse it for other purposes
  D. Be environment friendly and reuse it for writing
  B. Shred it using a shredder

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  Explanation/Reference:

  The best way to dispose of a hard copy of a customer design document is to shred it using a shredder. This is because shredding ensures that the document is destroyed and cannot be reconstructed or accessed by unauthorized persons. A customer design document may contain sensitive or confidential information that could cause harm or damage to the customer or the organization if disclosed. Therefore, it is important to protect the confidentiality and integrity of the document until it is securely disposed of. Throwing it in any dustbin, giving it to the office boy to reuse it for other purposes, or reusing it for writing are not secure ways of disposing of the document, as they could expose the document to unauthorized access, theft, loss or damage. ISO/IEC 27001:2022 requires the organization to implement procedures for the secure disposal of media containing information (see clause A.8.3.2). References: CQI and IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course, ISO/IEC 27001:2022 Information technology -- Security techniques -- Information security management systems -- Requirements, What is Secure Disposal?

• Question 102:

  Which two options are benefits of third-party accredited certification of information security management systems to ISO/IEC 27001:2022 for organisations and interested parties?

  A. Third-party accredited certification demonstrates that the organisation complies with the legal and legislation requirements expected by interested parties
  B. Third-party accredited certification demonstrates that the organisation's ICT products are secured and certified
  C. Third-party accredited certification demonstrates that the organisation's management system is maintained and effective
  D. Third-party accredited certification demonstrates the organisation's management system adopted a systematic approach to information security
  E. Third-party accredited certification makes sure the organisation will obtain more customers
  F. Third-party accredited certification makes sure the organisation's IT system will be protected from external interference
  C. Third-party accredited certification demonstrates that the organisation's management system is maintained and effective
  D. Third-party accredited certification demonstrates the organisation's management system adopted a systematic approach to information security

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  Explanation/Reference:

  Third-party accredited certification of information security management systems to ISO/IEC 27001:2022 provides assurance to organisations and interested parties that the organisation's management system is maintained and effective, meaning that it conforms to the requirements of the standard, meets the organisation' s objectives and policies, and addresses the risks and opportunities related to information security. Third-party accredited certification also demonstrates that the organisation's management system adopted a systematic approach to information security, meaning that it follows the Plan-Do-Check-Act (PDCA) cycle, applies the risk-based thinking principle, and considers the context and needs of the organisation and its stakeholders

• Question 103:

  In acceptable use of Information Assets, which is the best practice?

  A. Access to information and communication systems are provided for business purpose only
  B. Interfering with or denying service to any user other than the employee's host
  C. Playing any computer games during office hours
  D. Accessing phone or network transmissions, including wireless or wifi transmissions
  A. Access to information and communication systems are provided for business purpose only

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  Explanation/Reference:

  The best practice in acceptable use of information assets is A: access to information and communication systems are provided for business purpose only. This means that the organization grants access to its information and communication systems only to authorized users who need to use them for legitimate and approved business activities. The organization does not allow or tolerate any unauthorized, inappropriate or personal use of its information and communication systems, as this could compromise information security, violate policies or laws, or cause damage or harm to the organization or its stakeholders. The other options are not best practices in acceptable use of information assets, as they could violate information security policies and procedures, as well as ethical or legal standards. Interfering with or denying service to any user other than the employee's host (B) is a malicious act that could disrupt the availability or performance of the information systems or services of another user or organization. Playing any computer games during office hours ?is a personal and unprofessional use of the information and communication systems that could distract the employee from their work duties, waste resources and bandwidth, or expose the systems to malware or other risks. Accessing phone or network transmissions, including wireless or wifi transmissions (D) is a potential breach of confidentiality or privacy that could intercept, monitor or modify the information transmitted by another user or organization without their consent or authorization. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3). References: CQI and IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course, ISO/IEC 27001:2022 Information technology -- Security techniques -- Information security management systems -- Requirements, What is Acceptable Use?

• Question 104:

  The data centre at which you work is currently seeking ISO/IEC27001:2022 certification. In preparation for your initial certification visit, several internal audits have been carried out by a colleague working at another data centre within your Group. They secured their own ISO/IEC 27001:2022 certificate earlier in the year.

  You have just qualified as an Internal ISMS auditor and your manager has asked you to review the audit process and audit findings as a final check before the external Certification Body arrives.

  Which four of the following would cause you concern in respect of conformity to ISO/IEC 27001:2022 requirements?

  A. Although the scope for each internal audit has been defined, there are no audit criteria defined for the audits carried out to date.
  B. Audit reports are not held in hardcopy (i.e. on paper). They are only stored as *. PDF documents on the organisation's intranet.
  C. The audit process states the results of audits will be made available to 'relevant' managers, not top management.
  D. The audit programme does not reference audit methods or audit responsibilities.
  E. The audit programme does not take into account the relative importance of information security processes.
  F. The audit programme does not take into account the results of previous audits.
  G. The audit programme has not been signed as 'approved by Top Management.
  H. The audit programme shows management reviews taking place at irregular intervals during the year.
  A. Although the scope for each internal audit has been defined, there are no audit criteria defined for the audits carried out to date.
  D. The audit programme does not reference audit methods or audit responsibilities.
  E. The audit programme does not take into account the relative importance of information security processes.
  F. The audit programme does not take into account the results of previous audits.

• Question 105:

  Why should materiality be considered during the initial contact?

  A. To determine the audit duration
  B. To obtain reasonable assurance that the audit can be successfully completed
  C. To define processes for minimizing detection risks
  B. To obtain reasonable assurance that the audit can be successfully completed

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  Explanation/Reference:

  Materiality should be considered during the initial contact to obtain reasonable assurance that the audit can be successfully completed. Determining materiality helps establish the threshold for the significance of audit findings, ensuring that the audit focuses on substantial issues that could impact the audit conclusions.

  References: ISO 19011:2018, Guidelines for auditing management systems

• Question 106:

  You are an experienced ISMS audit team leader guiding an auditor in training. Your team has just completed a third-party surveillance audit of a mobile telecom provider. The auditor in training asks you how you intend to prepare for the Closing meeting. Which four of the following are appropriate responses?

  A. I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge the findings
  B. I will instruct my audit team to wait outside the auditee's offices so we can leave as quickly as possible after the closing meeting. This saves our time and the client's time too
  C. It is not necessary to prepare for the closing meeting. Once you have carried out as many audits as I have you already know what needs to be discussed
  D. I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented
  E. I will contact head office to ensure our invoice has been paid, If not, I will cancel the closing meeting and temporarily withhold the audit report
  F. I will discuss any follow-up required with my audit team
  G. I will review and, as appropriate, approve my teams audit conclusions
  H. I will review the audit evidence and the audit findings with the rest of the team
  A. I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge the findings
  D. I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented
  F. I will discuss any follow-up required with my audit team
  H. I will review the audit evidence and the audit findings with the rest of the team

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  Explanation/Reference:

  According to ISO 19011:2018, which provides guidelines for auditing management systems, clause 6.6 requires the audit team leader to conduct a closing meeting with the auditee's representatives at the end of the audit to present the audit conclusions and any findings1. The closing meeting should also provide an opportunity for the auditee to ask questions, clarify issues, acknowledge the findings, and comment on the audit process1. Therefore, when preparing for the closing meeting, an ISMS auditor should consider the following actions:

  I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge these: This action is appropriate because it reflects the fact that the auditor has followed a systematic and consistent approach to collecting and evaluating audit evidence and reaching audit conclusions. The auditor should advise the auditee that the purpose of the closing meeting is for the audit team to communicate their findings, which are based on objective evidence and professional judgement. The auditor should also explain that it is not an opportunity for the auditee to challenge these findings, as they have already been discussed and confirmed during the audit. However, the auditor should also invite the auditee to ask questions, clarify issues, acknowledge the findings, and comment on the audit process.

  I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented: This action is appropriate because it reflects the fact that the auditor has followed a planned and agreed audit programme and schedule. The auditor should schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented, in accordance with clause 6.6 of ISO 19011:20181. The auditor should also ensure that the closing meeting is attended by those responsible for managing or implementing the ISMS, as well as any other relevant parties.

  I will discuss any follow-up required with my audit team: This action is appropriate because it reflects the fact that the auditor has followed a risk-based approach to determining and reporting any follow-up actions required by the auditee or the certification body. The auditor should discuss any follow-up required with their audit team, such as verifying corrective actions for nonconformities or conducting a subsequent audit1. The auditor should also document any follow-up actions in the audit report.

  I will review and, as appropriate, approve my teams audit conclusions: This action is appropriate because it reflects the fact that the auditor has followed a rigorous and professional process to reaching and reporting audit conclusions. The auditor should review and, as appropriate, approve their teams audit conclusions, which are based on objective evidence and professional judgement. The auditor should also ensure that their teams audit conclusions are consistent with the audit objectives and scope, and reflect the overall performance and conformity of the ISMS.

• Question 107:

  DRAG DROP

  Your organisation is currently seeking ISO/IEC27001:2022 certification. You have just qualified as an Internal ISMS auditor and the ICT Manager wants to use your newly acquired knowledge to assist him with the design of an information security incident management process.

  He identifies the following stages in his planned process and asks you to confirm which order they should appear in.

  Select and Place:

  

  

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  Explanation/Reference:

  Step 1 = Incident logging: This step involves recording the details of the potential incident, event, or weakness, such as the date, time, source, description, impact, and reporter. This step is important to provide a traceable record of the incident and to facilitate the subsequent analysis and response. This step is related to control A.16.1.1 of ISO/IEC 27001:2022, which requires the organization to establish responsibilities and procedures for the management of information security incidents, events, and weaknesses. This step is also related to clause 6.2 of ISO/IEC 27035:2022, which provides guidance on how to log the incidents, events, and weaknesses.

  Step 2 = Incident categorisation: This step involves determining the type and nature of the incident, event, or weakness, such as whether it is a hardware issue, network issue, or software issue. This step is important to classify the incident and to assign it to the appropriate resolver or team. This step is related to control A.16.1.2 of ISO/IEC 27001:2022, which requires the organization to report information security events and weaknesses as quickly as possible through appropriate management channels. This step is also related to clause 6.3 of ISO/IEC 27035:2022, which provides guidance on how to categorize the incidents, events, and weaknesses.

  Step 3 = Incident prioritisation: This step involves assessing the severity and urgency of the incident, event, or weakness, and classifying it as critical, high, medium, or low. This step is important to prioritize the incident and to allocate the necessary resources and time for the response. This step is related to control A.16.1.3 of ISO/IEC 27001:2022, which requires the organization to assess and prioritize information security events and weaknesses in accordance with the defined criteria. This step is also related to clause 6.4 of ISO/IEC 27035:2022, which provides guidance on how to prioritize the incidents, events, and weaknesses.

  Step 4 = Incident assignment: This step involves passing the incident, event, or weakness to the individual or team who is best suited to resolve it, based on their skills, knowledge, and availability. This step is important to ensure that the incident is handled by the right person or team and to avoid delays or confusion. This step is related to control A.16.1.4 of ISO/IEC 27001:2022, which requires the organization to respond to information security events and weaknesses in a timely manner, according to the agreed procedures. This step is also related to clause 6.5 of ISO/IEC 27035:2022, which provides guidance on how to assign the incidents, events, and weaknesses.

  Step 5 = Task creation and management: This step involves identifying and coordinating the work needed to resolve the incident, event, or weakness, such as performing root cause analysis, testing solutions, implementing changes, and documenting actions. This step is important to ensure that the incident is resolved effectively and efficiently, and that the actions are tracked and controlled. This step is related to control A.16.1.5 of ISO/IEC 27001:2022, which requires the organization to apply lessons learned from information security events and weaknesses to take corrective and preventive actions. This step is also related to clause 6.6 of ISO/IEC 27035:2022, which provides guidance on how to create and manage the tasks for the incidents, events, and weaknesses.

  Step 6 = SLA management and escalation: This step involves ensuring that any service level agreements (SLAs) are adhered to while the resolution is being implemented, and that the incident is escalated to a higher level of authority or support if a breach looks likely or occurs. This step is important to ensure that the incident is resolved within the agreed time frame and quality, and that any deviations or issues are communicated and addressed. This step is related to control

  A.16.1.6 of ISO/IEC 27001:2022, which requires the organization to communicate information security events and weaknesses to the relevant internal and external parties, as appropriate. This step is also related to clause 6.7 of ISO/IEC 27035:2022, which provides guidance on how to manage the SLAs and escalations for the incidents, events, and weaknesses. Step 7 = Incident resolution: This step involves applying a temporary workaround or a permanent solution to resolve the incident, event, or weakness, and restoring the normal operation of the information and information processing facilities. This step is important to ensure that the incident is resolved completely and satisfactorily, and that the information security is restored to the desired level. This step is related to control A.16.1.7 of ISO/IEC 27001:2022, which requires the organization to identify the cause of information security events and weaknesses, and to take actions to prevent their recurrence or occurrence. This step is also related to clause 6.8 of ISO/IEC 27035:2022, which provides guidance on how to resolve the incidents, events, and weaknesses. Step 8 = Incident closure: This step involves closing the incident, event, or weakness, after verifying that it has been resolved satisfactorily, and that all the actions have been completed and documented. This step is important to ensure that the incident is formally closed and that no further actions are required. This step is related to control A.16.1.8 of ISO/IEC 27001:2022, which requires the organization to collect evidence and document the information security events and weaknesses, and the actions taken. This step is also related to clause 6.9 of ISO/IEC 27035:2022, which provides guidance on how to close the incidents, events, and weaknesses. References: ISO/IEC 27001:2022, Information technology -- Security techniques -- Information security management systems -- Requirements1 PECB Candidate Handbook ISO/IEC 27001 Lead Auditor2 ISO 27001:2022 Lead Auditor - PECB3 ISO 27001:2022 certified ISMS lead auditor - Jisc4 ISO/IEC 27001:2022 Lead Auditor Transition Training Course5 ISO 27001 - Information Security Lead Auditor Course - PwC Training Academy6 ISO/IEC 27035:2022, Information technology -- Security techniques -- Information security incident management

• Question 108:

  Which two of the following statements are true?

  A. The role of a certification body auditor involves evaluating the organisation's processes for ensuring compliance with their legal requirements
  B. Curing a third-party audit, the auditor evaluates how the organisation ensures that 4 6 made aware of changes to the legal requirements
  C. As part of a certification body audit the auditor is resporable for verifying the organisation's legal compliance status
  A. The role of a certification body auditor involves evaluating the organisation's processes for ensuring compliance with their legal requirements
  B. Curing a third-party audit, the auditor evaluates how the organisation ensures that 4 6 made aware of changes to the legal requirements

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  Explanation/Reference:

  The following statements are true:

  The role of a certification body auditor involves evaluating the organization's processes for ensuring compliance with their legal requirements. This is part of the auditor's responsibility to assess the effectiveness and conformity of the

  organization's ISMS against the ISO/IEC 27001:2022 standard and the applicable legal and regulatory requirements.

  During a third-party audit, the auditor evaluates how the organization ensures that they are made aware of changes to the legal requirements. This is part of the auditor's responsibility to verify that the organization has established and

  maintained a process for identifying and updating their legal and other requirements related to information security.

  The following statement is false:

  As part of a certification body audit, the auditor is responsible for verifying the organization's legal compliance status. This is not true, as the auditor is not authorized or qualified to provide legal advice or judgment on the organization's

  compliance status.

  The auditor can only report on the evidence of compliance or noncompliance observed during the audit, but the ultimate responsibility for ensuring legal compliance lies with the organization.

  References: CQI and IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 66. : CQI and IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 67.: ISO/IEC 27001 LEAD AUDITOR - PECB, page 22.

• Question 109:

  DRAG DROP

  Select the words that best complete the sentence:

  "The purpose of maintaining regulatory compliance in a management system is to To complete the sentence with the best word(s), 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 the option to the appropriate blank section.

  Select and Place:

  

  

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  Explanation/Reference:

  According to ISO 27001:2013, clause 5.2, the top management of an organization must establish, implement and maintain an information security policy that is appropriate to the purpose of the organization and provides a framework for setting information security objectives. The information security policy must also include a commitment to comply with the applicable legal, regulatory and contractual requirements, as well as any other requirements that the organization subscribes to. Therefore, maintaining regulatory compliance is part of fulfilling the management system policy and ensuring its effectiveness and suitability. References: ISO/IEC 27001:2013, Information technology -- Security techniques -- Information security management systems -- Requirements, clause 5.2 PECB Candidate Handbook ISO 27001 Lead Auditor, page 10 ISO 27001 Policy: How to write it according to ISO 27001

• Question 110:

  You are performing an ISMS initial certification audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to conduct the closing meeting. During the final audit team meeting, as an audit team leader, you agree to report 2 minor nonconformities and 1 opportunity for improvement as below:

  

  Select one option of the recommendation to the audit programme manager you are going to advise to the auditee at the closing meeting.

  A. Recommend certification immediately
  B. Recommend that a full scope re-audit is required within 6 months
  C. Recommend that an unannounced audit is carried out at a future date
  D. Recommend certification after your approval of the proposed corrective action plan Recommend that the findings can be closed out at a surveillance audit in 1 year
  E. Recommend that a partial audit is required within 3 months
  D. Recommend certification after your approval of the proposed corrective action plan Recommend that the findings can be closed out at a surveillance audit in 1 year

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  Explanation/Reference:

  According to ISO/IEC 17021-1:2015, which specifies the requirements for bodies providing audit and certification of management systems, clause 9.4.9 requires the certification body to make a certification decision based on the information

  obtained during the audit and any other relevant information1. The certification body should also consider the effectiveness of the corrective actions taken by the auditee to address any nonconformities identified during the audit1. Therefore,

  when making a recommendation to the audit programme manager, an ISMS auditor should consider the nature and severity of the nonconformities and the proposed corrective actions.

  Based on the scenario above, the auditor should recommend certification after their approval of the proposed corrective action plan and recommend that the findings can be closed out at a surveillance audit in 1 year. The auditor should

  provide the following justification for their recommendation:

  Justification: This recommendation is appropriate because it reflects the fact that the auditee has only two minor nonconformities and one opportunity for improvement, which do not indicate a significant or systemic failure of their ISMS. A

  minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its

  overall effectiveness or conformity. An opportunity for improvement is defined as a suggestion for improvement beyond what is required by ISO/IEC 27001:20222. Therefore, these findings do not prevent or preclude certification, as long as

  they are addressed by appropriate corrective actions within a reasonable time frame. The auditor should approve the proposed corrective action plan before recommending certification, to ensure that it is realistic, achievable, and effective.

  The auditor should also recommend that the findings can be closed out at a surveillance audit in 1 year, to verify that the corrective actions have been implemented and are working as intended.

  The other options are not valid recommendations for the audit programme manager, as they are either too lenient or too strict for the given scenario. For example:

  Recommend certification immediately: This option is not valid because it implies that the auditor ignores or accepts the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines

  for auditing management systems. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to consider the effectiveness of the corrective actions taken by the auditee before making a certification

  decision.

  Recommend that a full scope re-audit is required within 6 months: This option is not valid because it implies that the auditor overreacts or exaggerates the nonconformities, which is contrary to the audit principles and objectives of ISO

  19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:

  20151, which requires the certification body to determine whether a re-audit is necessary based on the nature and extent of nonconformities and other relevant factors. A full scope re-audit is usually reserved for major nonconformities or

  multiple minor nonconformities that indicate a serious or widespread failure of an ISMS.

  Recommend that an unannounced audit is carried out at a future date: This option is not valid because it implies that the auditor distrusts or doubts the auditee's commitment or capability to implement corrective actions, which is contrary to

  the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to conduct unannounced audits only under certain conditions, such as when there are

  indications of serious problems with an ISMS or when required by sector-specific schemes.

  Recommend that a partial audit is required within 3 months: This option is not valid because it implies that the auditor imposes or prescribes a specific time frame or scope for verifying corrective actions, which is contrary to the audit principles

  and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a partial audit is necessary based on the nature and extent of nonconformities and

  other relevant factors. A partial audit may be appropriate for minor nonconformities, but the time frame and scope should be agreed upon with the auditee and based on the proposed corrective action plan.

  References: ISO/IEC 17021-1:2015 - Conformity assessment ?Requirements for bodies providing audit and certification of management systems ?Part 1: Requirements, ISO 19011:2018 - Guidelines for auditing management systems