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

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

• Question 181:

  Select two options that describe an advantage of using a checklist.

  A. Using the same checklist for every audit without review
  B. Restricting interviews to nominated parties
  C. Ensuring relevant audit trails are followed
  D. Ensuring the audit plan is implemented
  E. Reducing audit duration F. Not varying from the checklist when necessary
  C. Ensuring relevant audit trails are followed
  D. Ensuring the audit plan is implemented

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  Explanation/Reference:

  A checklist is a tool that helps auditors to collect and verify information relevant to the audit objectives and scope. It can provide the following advantages:

  Ensuring relevant audit trails are followed: A checklist can help auditors to identify and trace the sources of evidence that support the conformity or nonconformity of the audited criteria. It can also help auditors to avoid missing or overlooking

  any important aspects of the audit.

  Ensuring the audit plan is implemented: A checklist can help auditors to follow and fulfil the audit plan, which describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. It

  can also help auditors to manage their time and resources effectively and efficiently.

  The other options are not advantages of using a checklist, but rather:

  Using the same checklist for every audit without review: This is a disadvantage of using a checklist, as it can lead to a rigid and ineffective audit approach. A checklist should be tailored and adapted to each specific audit, taking into account

  the context, risks, and changes of the auditee and the audit criteria. A checklist should also be reviewed and updated periodically to ensure its validity and relevance. Restricting interviews to nominated parties: This is a disadvantage of using

  a checklist, as it can limit the scope and depth of the audit. A checklist should not prevent auditors from interviewing other relevant parties or sources of information that may provide valuable evidence or insights for the audit. A checklist

  should be used as a guide, not as a constraint.

  Reducing audit duration: This is not necessarily an advantage of using a checklist, as it depends on various factors, such as the complexity, size, and maturity of the auditee's ISMS, the availability and quality of evidence, the competence and

  experience of the auditors, and the level of cooperation and communication between the auditors and the auditee. A checklist may help reduce audit duration by improving efficiency and organization, but it may also increase audit duration by

  requiring more evidence or verification.

  Not varying from the checklist when necessary: This is a disadvantage of using a checklist, as it can result in a superficial or incomplete audit. A checklist should not prevent auditors from exploring or investigating any issues or concerns that

  arise during the audit, even if they are not included in the checklist. A checklist should be used as a support, not as a substitute.

  References:

  ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB

  ISO 19011:2018 Guidelines for auditing management systems [Section 6.2.2]

• Question 182:

  You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.

  The next step in your audit plan is to verify the information security on ABC's healthcare mobile app development, support, and lifecycle process. During the audit, you learned the organization outsourced the mobile app development to a professional software development company with CMMI Level 5, ITSM (ISO /IEC 20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certified. The IT Manager presented the software security management procedure and summarised the process as follows:

  The mobile app development shall adopt "security-by-design" and "security-by-default" principles, as a minimum. The following security functions for personal data protection shall be available: Access control.

  Personal data encryption, i.e., Advanced Encryption Standard (AES) algorithm, key lengths: 256 bits; and Personal data pseudonymization.

  Vulnerability checked and no security backdoor

  You sample the latest Mobile App Test report - details as follows:

  

  You ask the IT Manager why the organisation still uses the mobile app while personal data encryption and pseudonymization tests failed. Also, whether the Service Manager is authorized to approve the test.

  The IT Manager explains the test results should be approved by him according to the software security management procedure. The reason why the encryption and pseudonymization functions failed is that these functions heavily slowed

  down the system and service performance. An extra 150% of resources are needed to cover this. The Service Manager agreed that access control is good enough and acceptable. That's why the Service Manager signed the approval.

  You sample one of the medical staff's mobile and found that ABC's healthcare mobile app, version 1.01 is installed. You found that version 1.01 has no test record.

  The IT Manager explains that because of frequent ransomware attacks, the outsourced mobile app development company gave a free minor update on the tested software, performed an emergency release of the updated software, and gave

  a verbal guarantee that there will be no impact on any security functions. Based on his 20 years of information security experience, there is no need to re-test.

  You are preparing the audit findings Select two options that are correct.

  A. There is a nonconformity (NC). The IT. Manager does not comply with the software security management procedure. (Relevant to clause 8.1, control A.8.30)
  B. There is a nonconformity (NC). The organisation does not control planned changes and review the consequences of unintended changes. (Relevant to clause 8.1)
  C. There is an opportunity for improvement (OI). The IT Manager should make the decision to continue the service based on appropriate testing. (Relevant to clause 8.1, control A.8.30)
  D. There is an opportunity for improvement (OI). The organisation selects an external service provider based on the extent of free services it will provide. (Relevant to clause 8.1, control A.5.21)
  E. There is NO nonconformity (NC). The IT Manager demonstrates good leadership. (Relevant to clause 5.1, control 5.4)
  F. There is NO nonconformity (NC). The IT Manager demonstrates he is fully competent. (Relevant to clause 7.2)
  A. There is a nonconformity (NC). The IT. Manager does not comply with the software security management procedure. (Relevant to clause 8.1, control A.8.30)
  B. There is a nonconformity (NC). The organisation does not control planned changes and review the consequences of unintended changes. (Relevant to clause 8.1)

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  Explanation/Reference:

  According to ISO/IEC 27001, organizations must control planned changes and review the consequences of unintended changes in order to ensure continued alignment with information security requirements. In this scenario, the organization failed to perform appropriate testing after an emergency update to the mobile app, which constitutes a nonconformity with clause 8.1 of the standard.

• Question 183:

  Which two of the following standards are used as ISMS third-party certification audit criteria?

  A. ISO/IEC 27002
  B. ISO/IEC 20000-1
  C. ISO 19011
  D. ISO/IEC 27001
  E. Relavent legal, statutory, and regulatory requirements
  F. ISO/IEC 17021-1
  D. ISO/IEC 27001
  E. Relavent legal, statutory, and regulatory requirements

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  Explanation/Reference:

  The two standards that are used as ISMS third-party certification audit criteria are ISO/IEC 27001 and relevant legal, statutory, and regulatory requirements. ISO/IEC 27001 specifies the requirements for establishing, implementing, maintaining, and continually improving an information security management system (ISMS)1. Relevant legal, statutory, and regulatory requirements are those that apply to the organization's information security aspects and objectives2. The other options are either not standards (E) or not directly related to the ISMS certification audit criteria (A, B, C, F).

• Question 184:

  Which two activities align with the "Check'' stage of the Plan-Do-Check-Act cycle when applied to the process of managing an internal audit program as described in ISO 19011?

  A. Retains records of internal audits
  B. Define audit criteria and scope for each internal audit
  C. Update the internal audit programme
  D. Establish a risk-based internal audit programme
  E. Conduct internal audits
  F. Verify effectiveness of the internal audit programme
  G. Review trends in internal audit result
  F. Verify effectiveness of the internal audit programme
  G. Review trends in internal audit result

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  Explanation/Reference:

  The Check stage of the PDCA cycle involves monitoring and measuring the performance of the process and comparing it with the planned objectives and criteria. In the context of managing an internal audit programme, this stage includes verifying the effectiveness of the internal audit programme by evaluating whether it meets its objectives, scope, and criteria, and whether it is implemented in accordance with ISO 19011 guidelines. It also includes reviewing the trends in internal audit results by analyzing the data collected from the audits, such as audit findings, nonconformities, corrective actions, opportunities for improvement, and customer feedback. References: ISO 19011:2018 - Guidelines for auditing management systems

• Question 185:

  Costs related to nonconformities and failures to comply with legal and contractual requirements are assessed when defining:

  A. Materiality
  B. Audit risks
  C. Reasonable assurance
  A. Materiality

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  Explanation/Reference:

  Materiality in the context of an audit involves assessing what level of nonconformities or failures, including those related to legal and contractual compliance, would be significant enough to affect the audit conclusions. Costs related to these issues are considered when determining materiality.

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

• Question 186:

  Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is considered to be the ultimate media machine of 2021 which will give the best gaming experience to players.

  The console pack will include a pair of VR headset, two games, and other gifts.

  Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market.

  Besides being a very customer-oriented company, Knight also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.

  Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.

  Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an operational ISMS for over a year. The ISMS scope includes all departments of

  Knight, except Finance and HR departments.

  Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze every part of the system and the details of the incident.

  The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their accounts. However, after carefully investigating the incident, the IRT

  determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.

  FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.

  Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone capturing the traffic can only see encrypted data.

  Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of the process were approved by the ISMS project manager who claimed that

  the level of risk after the implementation of new controls was in accordance with the company's risk acceptance levels.

  Based on this scenario, answer the following question:

  According to scenario 2, the ISMS scope was not applied to the Finance and HR Department of Knight. Is this acceptable?

  A. Yes, the ISMS must be applied only to processes and assets that may directly impact information security
  B. Yes, the ISMS scope can include the whole organization or only particular departments within the organization
  C. No, the ISMS scope must include all organizational units and processes
  B. Yes, the ISMS scope can include the whole organization or only particular departments within the organization

• Question 187:

  An audit team leader is planning a follow-up audit after the completion of a third-party surveillance audit earlier in the year. They have decided they will verify the nonconformities that require corrections before they move on to consider corrective actions.

  Based on the descriptions below, which four of the following are corrections for nonconformities identified at the surveillance?

  A. A signature missing from a client's contract for the supply of data services was added
  B. A software installation guide which had not been sent to the client along with their new system was posted out
  C. An incorrectly dated purchase order for a new network switch was rectified
  D. Data centre staff not carrying out backups in accordance with specified procedures were retrained
  E. Hard drive HD302 which had been colour-coded green (available for use) instead of red (to be destroyed) was removed from the system
  F. Scheduled management reviews, having been missed, were prioritised by the General Manager for holding on a specific date twice each following year
  G. The documented process for product shipment, which did not reflect how this activity was conducted by the despatch team, was re-written and the team trained accordingly
  H. The organisation, having failed to maintain its Schedule of Applicability, re-allocated responsibility for its updating to the Technical Director
  A. A signature missing from a client's contract for the supply of data services was added
  B. A software installation guide which had not been sent to the client along with their new system was posted out
  C. An incorrectly dated purchase order for a new network switch was rectified
  E. Hard drive HD302 which had been colour-coded green (available for use) instead of red (to be destroyed) was removed from the system

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  Explanation/Reference:

  According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, a correction is an action to eliminate a detected nonconformity, such as rework, repair, or replacement. The examples of A, B, C, and E are corrections because

  they fix the errors or defects that caused the nonconformities, such as a missing signature, a missing guide, a wrong date, or a wrong colour code. The other examples (D, F, G, and H) are not corrections, but corrective actions, because they

  address the root causes of the nonconformities, such as inadequate training, poor planning, ineffective documentation, or unclear responsibility.

  References:

  PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 35, section 4.5.12: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 36, section 4.5.2.

• Question 188:

  Which of the options below presents a minor nonconformity?

  A. The risk assessment methodology prevents evaluation of information security risks
  B. The contract of the company with its supplier does not have the appropriate document version control
  C. The backup of data is performed once a month, while the company's procedure requires daily backups
  C. The backup of data is performed once a month, while the company's procedure requires daily backups

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  Explanation/Reference:

  This is a minor nonconformity. The backup frequency not adhering to the company's procedure of daily backups but occurring once a month represents a deviation from established processes, yet it might not immediately impact the effectiveness of the information security management system.

  References: ISO/IEC 27001:2013, Clause A.12.3 (Backup)

• Question 189:

  After completing Stage 1 and in preparation for a Stage 2 initial certification audit, the auditee informs the audit team leader that they wish to extend the audit scope to include two additional sites that have recently been acquired by the organisation.

  Considering this information, what action would you expect the audit team leader to take?

  A. Increase the length of the Stage 2 audit to include the extra sites
  B. Obtain information about the additional sites to inform the certification body
  C. Arrange to complete a remote Stage 1 audit of the two sites using a video conferencing platform
  D. Inform the auditee that the request can be accepted but a full Stage 1 audit must be repeated
  B. Obtain information about the additional sites to inform the certification body

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  Explanation/Reference:

  According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, a certification body should establish criteria for determining audit time and audit team composition based on factors such as the scope of certification, size and complexity of the organization, risks associated with its activities, etc2. Therefore, if an auditee requests to extend the audit scope to include two additional sites after completing Stage 1 of an initial certification audit, the audit team leader should obtain information about the additional sites to inform the certification body, so that they can review and approve the change in scope and adjust the audit time and audit team accordingly2. The other options are not appropriate actions for the audit team leader to take in this situation. For example, increasing the length of the Stage 2 audit to include the extra sites without informing the certification body may violate their procedures and policies; arranging to complete a remote Stage 1 audit of the two sites using a video conferencing platform may not be feasible or effective depending on the nature and location of the sites; and informing the auditee that the request can be accepted but a full Stage 1 audit must be repeated may not be necessary or reasonable if there are no significant changes in the auditee's ISMS since Stage 12. References: ISO/IEC 17021-1:2015 - Conformity assessment ? Requirements for bodies providing audit and certification of management systems ?Part 1: Requirements

• Question 190:

  Which one of the following options best describes the purpose of a Stage 2 audit?

  A. To check for legal compliance by the organisation
  B. To ensure that the audit plan is carried out
  C. To evaluate the implementation of the management system
  D. To get to know the organisation's processes
  C. To evaluate the implementation of the management system

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  Explanation/Reference:

  The purpose of a Stage 2 audit is to evaluate the implementation of the management system, in this case, the ISMS, according to the requirements of ISO/IEC 27001:2022 and the organisation's own policies and procedures. The Stage 2 audit involves collecting evidence of the effectiveness and performance of the ISMS, as well as verifying the conformity and suitability of the organisation's controls. The Stage 2 audit also assesses the organisation's ability to achieve its information security objectives and to manage information security risks. References: = ISO/IEC 27006:2022, clause 9.2.2.2; PECB Candidate Handbook ISO 27001 Lead Auditor, page 28.