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

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

• Question 201:

  CMM stands for?

  A. Capability Maturity Matrix
  B. Capacity Maturity Matrix
  C. Capability Maturity Model
  D. Capable Mature Model
  C. Capability Maturity Model

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  Explanation/Reference:

  Capability Maturity Model (CMM) is a framework that describes the key elements of an effective software process. It defines five levels of maturity for software development organizations, from initial to optimized. The CMM helps organizations to assess their current level of process capability and identify the areas for improvement. References: ISO/IEC 27001:2022 Lead Auditor - IECB

• Question 202:

  What is the difference between a restricted and confidential document?

  A. Restricted - to be shared among an authorized group Confidential - to be shared among named individuals
  B. Restricted - to be shared among named individuals Confidential - to be shared among an authorized group
  C. Restricted - to be shared among named individuals Confidential - to be shared across the organization only
  D. Restricted - to be shared among named individuals Confidential - to be shared with friends and family
  B. Restricted - to be shared among named individuals Confidential - to be shared among an authorized group

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  Explanation/Reference:

  The difference between a restricted and confidential document is that a restricted document is to be shared among named individuals, while a confidential document is to be shared among an authorized group. Restricted and confidential are examples of information classification levels that indicate the sensitivity and value of information and the degree of protection required for it. Restricted documents contain information that could cause serious damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by specific individuals who have a legitimate need to know and are authorized by the information owner. Confidential documents contain information that could cause damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by a defined group of people who have a legitimate need to know and are authorized by the information owner. ISO/IEC 27001:2022 requires the organization to classify information in terms of legal requirements, value, criticality and sensitivity to unauthorized disclosure or modification (see clause A. 8.2.1). 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 Information Classification?

• Question 203:

  Scenario 7: Lawsy is a leading law firm with offices in New Jersey and New York City. It has over 50 attorneys offering sophisticated legal services to clients in business and commercial law, intellectual property, banking, and financial services. They believe they have a comfortable position in the market thanks to their commitment to implement information security best practices and remain up to date with technological developments.

  Lawsy has implemented, evaluated, and conducted internal audits for an ISMS rigorously for two years now. Now, they have applied for ISO/IEC 27001 certification to ISMA, a well-known and trusted certification body.

  During stage 1 audit, the audit team reviewed all the ISMS documents created during the implementation. They also reviewed and evaluated the records from management reviews and internal audits.

  Lawsy submitted records of evidence that corrective actions on nonconformities were performed when necessary, so the audit team interviewed the internal auditor. The interview validated the adequacy and frequency of the internal audits by providing detailed insight into the internal audit plan and procedures.

  The audit team continued with the verification of strategic documents, including the information security policy and risk evaluation criteria. During the information security policy review, the team noticed inconsistencies between the

  documented information describing governance framework (i.e., the information security policy) and the procedures.

  Although the employees were allowed to take the laptops outside the workplace, Lawsy did not have procedures in place regarding the use of laptops in such cases. The policy only provided general information about the use of laptops. The

  company relied on employees' common knowledge to protect the confidentiality and integrity of information stored in the laptops. This issue was documented in the stage 1 audit report.

  Upon completing stage 1 audit, the audit team leader prepared the audit plan, which addressed the audit objectives, scope, criteria, and procedures.

  During stage 2 audit, the audit team interviewed the information security manager, who drafted the information security policy. He justified the Issue identified in stage 1 by stating that Lawsy conducts mandatory information security training

  and awareness sessions every three months.

  Following the interview, the audit team examined 15 employee training records (out of 50) and concluded that Lawsy meets requirements of ISO/IEC 27001 related to training and awareness. To support this conclusion, they photocopied the

  examined employee training records.

  Based on the scenario above, answer the following question:

  Lawsy lacks a procedure regarding the use of laptops outside the workplace and it relies on employees' common knowledge to protect the confidentiality of information stored in the laptops. This presents:

  A. An anomaly
  B. A nonconformity
  C. A conformity
  B. A nonconformity

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  Explanation/Reference:

  Lawsy's lack of specific procedures for the use of laptops outside the workplace, despite allowing such use, represents a nonconformity. ISO/IEC 27001 requires that security controls and management processes be clearly defined, documented, and implemented. Relying solely on employees' common knowledge does not fulfill the standard's requirements for managing information security risks associated with mobile and teleworking.

  References: ISO/IEC 27001:2013, Clause A.6.2 (Mobile device and teleworking management)

• Question 204:

  What is meant by the term 'Corrective Action'? Select one

  A. Action is taken to prevent a nonconformity or an incident from occurring
  B. Action is taken to eliminate the cause(s) of a nonconformity or an incident
  C. Action is taken by management to respond to a nonconformity
  D. Action is taken to fix a nonconformity or an incident
  B. Action is taken to eliminate the cause(s) of a nonconformity or an incident

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  Explanation/Reference:

  Corrective action is a process of identifying and eliminating the root causes of nonconformities or incidents that have occurred or could potentially occur, in order to prevent their recurrence or occurrence. Corrective action is part of the improvement requirement of ISO 27001 and follows a standard workflow of identification, evaluation, implementation, review and documentation of corrections and corrective actions. References: Procedure for Corrective Action, Nonconformity and Corrective Action For ISO 27001 Requirement 10.1, PECB Candidate Handbook ISO 27001 Lead Auditor (page 12)

• Question 205:

  You are the person responsible for managing the audit programme and deciding the size and composition of the audit team for a specific audit. Select the two factors that should be considered.

  A. The audit scope and criteria
  B. Customer relationships
  C. The overall competence of the audit team needed to achieve audit objectives
  D. Seniority of the audit team leader
  E. The cost of the audit
  F. The duration preferred by the auditee
  A. The audit scope and criteria
  C. The overall competence of the audit team needed to achieve audit objectives
  E. The cost of the audit

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  The audit scope and criteria: The audit scope defines the extent and boundaries of the audit, such as the locations, processes, functions, and time period to be audited. The audit criteria are the set of policies, procedures, standards, or

  requirements used as a reference against which the audit evidence is compared. The audit scope and criteria determine the complexity and extent of the audit, and thus influence the number and expertise of the auditors needed to cover all

  the relevant aspects of the audit.

  The overall competence of the audit team needed to achieve audit objectives: The audit team should have the appropriate knowledge, skills, and experience to conduct the audit effectively and efficiently, and to provide credible and reliable

  audit results. The audit team competence should include the following elements:

  Generic competence: The ability to apply the principles and methods of auditing, such as planning, conducting, reporting, and following up the audit, as well as the personal behaviour and attributes of the auditors, such as ethical conduct, fair

  presentation, professional care, independence, and impartiality.

  Discipline and sector-specific competence: The ability to understand and apply the audit criteria and the relevant technical or industry aspects of the audited organization, such as the information security management system (ISMS)

  requirements, the information security risks and controls, the legal and regulatory obligations, the organizational context and culture, the processes and activities, the products and services, etc. Audit team leader competence: The ability to

  manage the audit team and the audit process, such as coordinating the audit activities, communicating with the audit programme manager and the auditee, resolving any audit-related problems, ensuring the quality and consistency of the

  audit work and the audit report, etc.

  The person responsible for managing the audit programme should not consider the following factors when deciding the size and composition of the audit team for a specific audit, as they are either irrelevant or inappropriate for the audit

  process:

  Customer relationships: The audit team should not be influenced by any personal or professional relationships with the auditee or other interested parties, as this may compromise the objectivity and impartiality of the audit. The audit team

  should avoid any conflicts of interest or self-interest that may affect the audit results or the audit decisions.

  Seniority of the audit team leader: The audit team leader should be selected based on their competence and experience, not on their seniority or rank within the organization or the audit programme. The audit team leader should have the

  authority and responsibility to manage the audit team and the audit process, regardless of their seniority or position.

  The cost of the audit: The cost of the audit should not be the primary factor for determining the size and composition of the audit team, as this may compromise the quality and effectiveness of the audit. The audit team should have sufficient

  resources and time to conduct the audit in accordance with the audit objectives, scope, and criteria, and to provide accurate and reliable audit results and recommendations. The duration preferred by the auditee: The duration of the audit

  should be based on the audit objectives, scope, and criteria, and the availability and cooperation of the auditee, not on the preference or convenience of the auditee. The audit team should have enough time to conduct the audit in a thorough

  and systematic manner, and to collect and evaluate sufficient and relevant audit evidence.

  References:

  ISO 19011:2018 - Guidelines for auditing management systems

  PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-20

• Question 206:

  You receive the following mail from the IT support team: Dear User,Starting next week, we will be deleting all inactive email accounts in order to create spaceshare the below details in order to continue using your account. In case of no

  response,

  Name:

  Email ID:

  Password:

  DOB:

  Kindly contact the webmail team for any further support. Thanks for your attention.

  Which of the following is the best response?

  A. Ignore the email
  B. Respond it by saying that one should not share the password with anyone
  C. One should not respond to these mails and report such email to your supervisor
  C. One should not respond to these mails and report such email to your supervisor

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  Explanation/Reference:

  The best response to the email from the IT support team asking for personal details is to not respond to the email and report it to your supervisor. The email is likely a phishing attempt, which is a form of social engineering that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. The IT support team should never ask for your password or other personal details via email, as this is a violation of information security policies and best practices. Ignoring the email or responding to it by saying that one should not share the password with anyone are not sufficient responses, as they do not alert the IT support team or your supervisor about the phishing attempt, which could affect other users as well. Reporting the email to your supervisor is a responsible action that could help prevent further damage or compromise of information. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2).

  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 Phishing?

• Question 207:

  Which two of the following phrases would apply to "act" in relation to the Plan-Do-Check-Act cycle for a business process?

  A. Auditing processes
  B. Planning changes
  C. Measuring objectives
  D. Resetting objectives
  E. Achieving improvements F. Verifying training
  D. Resetting objectives
  E. Achieving improvements F. Verifying training

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  Explanation/Reference:

  The Act phase of the PDCA cycle is where the organisation takes actions to improve its processes and performance based on the results of the Check phase. This may involve resetting objectives to make them more realistic, achievable or challenging, or implementing changes to address the root causes of problems and achieve the desired outcomes. The Act phase is also where the organisation monitors the effects of the actions taken and evaluates their effectiveness and efficiency. The Act phase is important because it enables the organisation to learn from its experience and continually improve its ISMS. References: What is `Plan, Do, Check, Act'? A framework for continuous improvement, PDCA in ISO27001 - Free guide to learn | Dr. Erdal Ozkaya, PECB Candidate Handbook ISO 27001 Lead Auditor (page 12)

• Question 208:

  Select two of the following options that are the responsibility of a legal technical expert on the audit team during a certification audit.

  A. Evaluating the auditee's legal knowledge
  B. Criticising the organisation's legal compliance issues
  C. Debating complex legal points with the auditee
  D. Advising on legal checkpoints for the audit team
  E. Verifying the legal status of the organisation
  F. Meeting the organisation's legal representative
  D. Advising on legal checkpoints for the audit team
  E. Verifying the legal status of the organisation

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  Explanation/Reference:

  A legal technical expert (LTE) is a person who provides specific knowledge or expertise related to the legal aspects of the information security management system (ISMS) during a certification audit. The LTE is not an auditor, but a member

  of the audit team who supports the auditors in collecting and evaluating the audit evidence. The LTE is not responsible for evaluating the auditee's legal knowledge, criticising the organisation' s legal compliance issues, or debating complex

  legal points with the auditee, as these tasks may be beyond the scope of the audit, or may compromise the objectivity and impartiality of the audit. The LTE is responsible for advising on legal checkpoints for the audit team, such as the

  applicable legal, regulatory, and contractual requirements, the relevant sources of information, the methods of verification, and the criteria of evaluation. The LTE is also responsible for verifying the legal status of the organisation, such as the

  registration, licensing, authorisation, or accreditation of the organisation, and the compliance with the relevant laws and regulations.

  References:

  What is the role of a technical expert in ISO audit?

  Roles, Responsibilities and Authorities for ISO 27001 5.3

  Guide to Become an ISO 27001 Lead Auditor

• Question 209:

  Which six of the following actions are the individual(s) managing the audit programme responsible for?

  A. Selecting the audit team
  B. Retaining documented information of the audit results
  C. Defining the objectives, scope and criteria for an individual audit
  D. Defining the plan of an individual audit
  E. Establishing the extent of the audit programme
  F. Establishing the audit programme
  G. Determining the resources necessary for the audit programme
  H. Communicating with the auditee during the audit
  A. Selecting the audit team
  B. Retaining documented information of the audit results
  C. Defining the objectives, scope and criteria for an individual audit
  D. Defining the plan of an individual audit
  E. Establishing the extent of the audit programme
  F. Establishing the audit programme

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  Explanation/Reference:

  According to ISO 19011:2018, which provides guidelines for auditing management systems, an audit programme is a set of one or more audits planned for a specific time frame and directed towards a specific purpose. The individual(s) managing the audit programme are responsible for establishing, implementing and maintaining the audit programme in accordance with the organization's policies and objectives. This includes defining the extent of the audit programme based on strategic direction, risks and opportunities; establishing the audit programme by defining its objectives, scope and criteria; determining the resources necessary for the audit programme; selecting competent auditors and assigning them to appropriate audits; defining the objectives, scope and criteria for each individual audit; defining the plan of each individual audit; retaining documented information of the audit results; reviewing and improving the performance of the audit programme. Therefore, these six actions are part of the responsibilities of the individual(s) managing the audit programme. The other option, communicating with the auditee during the audit, is not a responsibility of the individual(s) managing the audit programme, but rather a responsibility of the audit team leader1. References: ISO 19011:2018 - Guidelines for auditing management systems

• Question 210:

  Which situation presented below represents a threat?

  A. HackX uses and distributes pirated software
  B. The information security training was provided to only the IT team members of the organization
  C. Hackers compromised the administrator's account by cracking the password
  C. Hackers compromised the administrator's account by cracking the password

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  Explanation/Reference:

  A threat in information security is any circumstance or event with the potential to cause harm to an information system through unauthorized access, destruction, disclosure, modification of data, and/or denial of service. The situation where hackers compromise an administrator's account by cracking the password represents a direct threat to the security of the information system. References: = This explanation is based on general information security principles and the typical content covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs. It aligns with the knowledge expected of a professional with an ISO/IEC 27001 Lead Auditor certification