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

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

• Question 111:

  An organisation has ISO/IEC 27001 Information Security Management System (ISMS) certification from a third-party certification body. Which one of the following represents an advantage of having accredited certification?

  A. An increase in the marketing price of the organisation's products
  B. An increase in the number of clients
  C. Clarity of the audit report
  D. Recognition of the credibility of the certification process.
  D. Recognition of the credibility of the certification process.

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  Explanation/Reference:

  One of the advantages of having accredited certification of ISMS to ISO/IEC 27001:2022 is that it demonstrates the recognition of the credibility of the certification process. Accredited certification means that the certification body has been assessed and approved by an accreditation body, which ensures that the certification body operates according to international standards and follows impartiality, competence and consistency principles. Accredited certification also enhances the confidence of the organisation's customers, partners, regulators and other interested parties in the organisation's information security performance and compliance. References: ISO/IEC 27001:2022, clause 0.2; [PECB Candidate Handbook ISO 27001 Lead Auditor], page 6; Key Benefits of ISO 27001 Certification - IT Governance.

• Question 112:

  You are performing an ISMS audit at a residential nursing home railed ABC that provides healthcare services. The next step in your audit plan is to verify the effectiveness of the continual improvement process. During the audit, you learned most of the residents' family members (90%) receive WeCare medical device promotional advertisements through email and SMS once a week via ABC's healthcare mobile app. All of them do not agree on the use of the collected personal data (or marketing or any other purposes than nursing and medical care on the signed service agreement with ABC. They have very strong reason to believe that ABC is leaking residents' and family members' personal information to a non-relevant third party and they have filed complaints.

  The Service Manager says that all these complaints have been treated as nonconformities, and the corrective actions have been planned and implemented according to the Nonconformity and Corrective management procedure. The corrective action involved stopping working with WeCare the medical device manufacturer immediately and asking them to delete all personal data received as well as sending an apology email to all residents and their family members.

  You are preparing the audit findings. Select one option of the correct finding.

  A. Nonconformity: ABC does not follow the signed healthcare service agreement with residents' family members
  B. No nonconformity: I would like to collect more evidence on how the organisation defines the management system scope and see if they covered WeCare medical device manufacture
  C. No nonconformity: The Service Manager implemented the corrective actions and the Customer Service Representative evaluates the effectiveness of implemented corrective actions
  D. Nonconformity: The management review does not take the feedback from residents' family members into consideration
  A. Nonconformity: ABC does not follow the signed healthcare service agreement with residents' family members

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  Explanation/Reference:

  According to ISO 27001:2022 clause 8.1.4, the organisation shall ensure that externally provided processes, products or services that are relevant to the information security management system are controlled. This includes implementing appropriate contractual requirements related to information security with external providers, such as customers who send ICT equipment for reclamation

  In this case, ABC is a residential nursing home that provides healthcare services to its residents and collects their personal data and their family members' personal data. ABC has a signed service agreement with the residents' family members that states that the collected personal data will not be used for marketing or any other purposes than nursing and medical care. However, ABC has violated this contractual requirement by sharing the personal data with WeCare, a medical device manufacturer, who has used the data to send promotional advertisements to the residents' family members via email and SMS. This has caused dissatisfaction and complaints from the residents' family members, who have a strong reason to believe that ABC is leaking their personal information to a non-relevant third party.

  Therefore, the audit finding is a nonconformity with clause 8.1.4 of ISO 27001:2022, as ABC has failed to control the externally provided processes, products or services that are relevant to the information security management system, and has breached the contractual requirements related to information security with its customers. The fact that ABC has taken corrective actions to stop working with WeCare and to apologise to the customers does not eliminate the nonconformity, but only mitigates its consequences. The nonconformity still needs to be recorded, evaluated, and reviewed for effectiveness and improvement.

  References:

  1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1

  2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

• Question 113:

  In the context of a third-party certification audit, it is very important to have effective communication. Select an option that contains the correct answer about communication in an audit context.

  A. During the audit, each auditor should periodically communicate any concerns to the auditee and audit client
  B. During the audit, the responibility for communication rests with the audit team leader
  C. The formal communication channels between the audit team and the auditee can be established during the opening meeting
  D. There is no need to establish a formal communication arrangement because an auditee can communicate with the auditor at any time during the audit
  C. The formal communication channels between the audit team and the auditee can be established during the opening meeting

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  Explanation/Reference:

  In the context of a third-party certification audit, it is very important to have effective communication between the audit team and the auditee. The formal communication channels, such as the names and contact details of the audit team members, the auditee representatives, the audit client and any other relevant parties, can be established during the opening meeting. This helps to ensure that the audit objectives, scope, criteria, methods, schedule and any other arrangements are clearly understood and agreed by all parties. It also facilitates the exchange of information, feedback, requests, concerns and complaints during the audit process. References: = ISO 19011:2022, clause 6.4.2; PECB Candidate Handbook ISO 27001 Lead Auditor, page 25.

• Question 114:

  DRAG DROP

  You are an experienced ISMS audit team leader, talking to an Auditor in training who has been assigned to your audit team. You want to ensure that they understand the importance of the Check stage of the Plan-Do-Check-Act cycle in respect of the operation of the information security management system.

  You do this by asking him to select the words that best complete the sentence:

  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:

  Review is the third stage of the Plan-Do-Check-Act (PDCA) cycle, which is a four- step model for implementing and improving an information security management system (ISMS) according to ISO/IEC 27001:202212. Review involves assessing and measuring the performance of the ISMS against the established policies, objectives, and criteria. Assess is the verb that describes the action of reviewing the ISMS. Assess means to evaluate, analyze, or measure something in a systematic and objective manner. Assessing the ISMS involves collecting and verifying audit evidence, identifying strengths and weaknesses, and determining the degree of conformity or nonconformity. Regular is the adjective that describes the frequency or interval of reviewing the ISMS. Regular means occurring or done at fixed or uniform intervals. Reviewing the ISMS at regular intervals means conducting internal audits and management reviews periodically, such as annually, quarterly, or monthly, depending on the needs and risks of the organization. Suitability is one of the attributes that describes the quality or outcome of reviewing the ISMS. Suitability means being appropriate or fitting for a particular purpose, person, or situation5. Reviewing the ISMS for suitability means ensuring that it is aligned with the organization's strategic direction, business objectives, and information security requirements. References= ISO/IEC 27001:2022 Information technology -- Security techniques -- Information security management systems -- Requirements ISO/IEC 27003:2022 Information technology -- Security techniques -- Information security management systems -- Guidance Assess | Definition of Assess by Merriam-Webster Regular | Definition of Regular by Merriam-Webster Suitability | Definition of Suitability by Merriam-Webster

• Question 115:

  You are an experienced ISMS audit team leader guiding an auditor in training. You decide to test her knowledge of follow-up audits by asking her a series of questions. Here are your questions and her answers. Which four of your questions has she answered correctly?

  A. Q: Should a follow-up audit seek to identify new nonconformities? A:YES
  B. Q: Should follow-up audits seek to ensure nonconformities have been effectively addressed? A:YES
  C. Q: Should follow-up audits consider agreed opportunities for improvement as well as corrective action? A:No
  D. Q: Is the purpose of a follow-up audit to verify the completion of corrections, corrective actions, and opportunities for improvement? A:YES
  E. Q: Are follow-up audits required for all audits? A:No
  F. Q: Should the outcome from a follow-up audit be reported to the audit team leader who carried out the audit at which the NCs were originally identified? A:YES
  G. Q: Should the outcome from a follow-up audit be reported to the audit client? A:No
  H. Q: Could an outcome from a follow-up audit be another follow-up audit if required? A:YES
  B. Q: Should follow-up audits seek to ensure nonconformities have been effectively addressed? A:YES
  D. Q: Is the purpose of a follow-up audit to verify the completion of corrections, corrective actions, and opportunities for improvement? A:YES
  E. Q: Are follow-up audits required for all audits? A:No
  H. Q: Could an outcome from a follow-up audit be another follow-up audit if required? A:YES

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  Explanation/Reference:

  Based on the understanding of follow-up audits, especially in the context of Information Security Management Systems (ISMS) and the guidelines provided by ISO 19011:2018, here are the four questions from your list that the auditor in training has answered correctly:

  B. Q: Should follow-up audits seek to ensure nonconformities have been effectively addressed? A: YES This is correct. The primary purpose of follow-up audits is to verify that nonconformities identified in previous audits have been effectively addressed and the corrective actions taken are suitable and effective.

  D. Q: Is the purpose of a follow-up audit to verify the completion of corrections, corrective actions, and opportunities for improvement? A: YES Yes, the follow-up audit aims to verify the completion and effectiveness of corrections and corrective actions. It may also consider the implementation of opportunities for improvement identified during the initial audit.

  E. Q: Are follow-up audits required for all audits? A: NO This is correct. Follow-up audits are not automatically required for all audits. They are typically conducted when nonconformities or other significant issues were identified in an earlier audit and there's a need to verify the implementation and effectiveness of the corrective actions.

  H. Q: Could an outcome from a follow-up audit be another follow-up audit if required? A: YES Yes, this is a possible outcome. If the follow-up audit finds that the corrective actions have not been fully effective, or if new issues are identified, it may be necessary to conduct another follow-up audit.

  The other responses provided by the auditor in training require some clarification or correction. For instance, while a follow-up audit primarily focuses on previously identified nonconformities and corrective actions, it can still identify new nonconformities if observed (A). Opportunities for improvement are generally considered in the scope of regular audits more so than in follow-up audits, which are more narrowly focused on corrective actions (C). Also, the outcomes of follow-up audits should typically be reported to both the audit team leader and the audit client (F and G), ensuring transparency and accountability.

  The four questions that the auditor in training has answered correctly are B, D, E, and H. These questions and answers are consistent with the definition and purpose of a follow-up audit as specified in ISO 19011:2018, Clause 6.712. A follow-up audit is conducted to verify the completion and effectiveness of corrective actions taken as a result of a previous audit (B, D). Follow-up audits are not mandatory for all audits, but they may be required by the audit program, the audit client, or other interested parties (E). The outcome of a follow-up audit may be another follow-up audit if the corrective actions are not satisfactory or not completed within the agreed time frame (H). The other questions and answers are either incorrect or irrelevant. A follow-up audit should not seek to identify new nonconformities, as this is not its objective (A). Follow-up audits should consider agreed opportunities for improvement as well as corrective actions, as they are both outputs of a previous audit ? The outcome of a follow-up audit should be reported to the audit client, as well as to other relevant parties, such as the audit team leader who carried out the previous audit (F, G).

  References: 1: ISO 19011:2018, Guidelines for auditing management systems, Clause 6.7 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 6: Closing an ISO/IEC 27001 audit

• Question 116:

  You are carrying out your first third-party ISMS surveillance audit as an audit team leader. You are presently in the auditee's data centre with another member of your audit team and the organisation's guide.

  You request access to a locked room protected by a combination lock and iris scanner. The room contains several rows of uninterruptable power supplies along with several data cabinets containing client-supplied equipment, predominantly servers, and switches.

  You note that there is a gas-based fire extinguishing system in place. A label indicates that the system requires testing every 6 months however the most recent test recorded on the label was carried out by the manufacturer 12 months ago.

  Based on the scenario above which two of the following actions would you now take?

  A. Determine if requirements for recording fire extinguisher checks have been revised within the last year. If so, suggest these are referenced on the existing labels as an opportunity for improvement
  B. Make a note to ask the site maintenance manager for evidence that a fire extinguishing system test was carried out 6 months ago
  C. Providing water-based extinguishers are accessible in the room, take no further action as these provide an alternative means to put out a fire
  D. Raise a nonconformity against control A.5.7 'threat intelligence' as the organisation has not identified the need to take action against the threat of fire
  E. Raise a nonconformity against control A.7.11 'supporting utilities' as information processing facilities are not adequately protected against possible disruption
  F. Require the guide to initiate the organisation's information security incident process
  B. Make a note to ask the site maintenance manager for evidence that a fire extinguishing system test was carried out 6 months ago
  E. Raise a nonconformity against control A.7.11 'supporting utilities' as information processing facilities are not adequately protected against possible disruption

• Question 117:

  You are an experienced audit team leader guiding an auditor in training.

  Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the PHYSICAL controls listed in the Statement of Applicability (SoA) and implemented at the site.

  Select four controls from the following that would you expect the auditor in training to review.

  A. Access to and from the loading bay
  B. How power and data cables enter the building
  C. Information security awareness, education, and training
  D. The conducting of verification checks on personnel
  E. The development and maintenance of an information asset inventory
  F. The operation of the site CCTV and door control systems
  G. The organisation's arrangements for maintaining equipment
  H. The organisation's business continuity arrangements
  A. Access to and from the loading bay
  B. How power and data cables enter the building
  F. The operation of the site CCTV and door control systems
  G. The organisation's arrangements for maintaining equipment

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  Explanation/Reference:

  The four controls from the list that are related to PHYSICAL aspects of the ISMS are:

  Access to and from the loading bay How power and data cables enter the building The operation of the site CCTV and door control systems The organisation's arrangements for maintaining equipment

  These controls are derived from the ISO 27001 Annex A, which provides a comprehensive list of information security controls that can be applied to an ISMS1. The other controls in the list are more related to ORGANIZATIONAL, LEGAL, or HUMAN aspects of the ISMS, which are also important, but not the focus of this question.

  According to the ISMS Auditing Guideline2, the auditor in training should review the PHYSICAL controls by: Checking the SoA to identify the applicable controls and their implementation status Interviewing the relevant staff and management to verify their understanding and involvement in the controls Observing the physical and environmental conditions to confirm the existence and effectiveness of the controls Examining the relevant documents and records to validate the compliance and performance of the controls

  References: 1: What Are ISO 27001 Controls? A Guide to Annex A | Secureframe; 2: ISMS Auditing Guideline - ISO27000

• Question 118:

  Which option below is NOT a role of the audit team leader?

  A. Preventing and solving conflict during the audit
  B. Setting up an ethics committee
  C. Preparing and explaining the audit conclusions
  B. Setting up an ethics committee

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  Explanation/Reference:

  The role of the audit team leader does not include setting up an ethics committee. The primary responsibilities of the audit team leader include planning the audit, directing the activities of the audit team, ensuring compliance with the auditing standards, managing conflicts that arise during the audit, and presenting audit conclusions.

  References: ISO 19011:2018 Guidelines for auditing management systems

• Question 119:

  Which one of the following options best describes the main purpose of a Stage 2 third-party audit?

  A. To determine readiness for certification
  B. To check for legal compliance by the organisation
  C. To identify nonconformances against a standard
  D. To get to know the organisation's management system
  C. To identify nonconformances against a standard

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  Explanation/Reference:

  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

• Question 120:

  Scenario 1: Fintive is a distinguished security provider for online payments and protection solutions. Founded in 1999 by Thomas Fin in San Jose, California, Fintive offers services to companies that operate online and want to improve their information security, prevent fraud, and protect user information such as PII. Fintive centers its decision-making and operating process based on previous cases. They gather customer data, classify them depending on the case, and analyze them. The company needed a large number of employees to be able to conduct such complex analyses. After some years, however, the technology that assists in conducting such analyses advanced as well. Now, Fintive is planning on using a modern tool, a chatbot, to achieve pattern analyses toward preventing fraud in real-time. This tool would also be used to assist in improving customer service.

  This initial idea was communicated to the software development team, who supported it and were assigned to work on this project. They began integrating the chatbot on their existing system. In addition, the team set an objective regarding the chatbot which was to answer 85% of all chat queries.

  After the successful integration of the chatbot, the company immediately released it to their customers for use.

  The chatbot, however, appeared to have some issues.

  Due to insufficient testing and lack of samples provided to the chatbot during the training phase, in which it was supposed "to learn" the queries pattern, the chatbot failed to address user queries and provide the right answers. Furthermore, the chatbot sent random files to users when it received invalid inputs such as odd patterns of dots and special characters. Therefore, the chatbot was unable to properly answer customer queries and the traditional customer support was overwhelmed with chat queries and thus was unable to help customers with their requests.

  Consequently, Fintive established a software development policy. This policy specified that whether the software is developed in-house or outsourced, it will undergo a black box testing prior to its implementation on operational systems.

  What type of security control does the use of black box testing represent? Refer to scenario 1.

  A. Corrective and technical
  B. Detective and managerial
  C. Preventive and technical
  C. Preventive and technical