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

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

• Question 51:

  The auditor should consider (1)-------when determining the (2)-------

  A. (1) Standard requirements. (2) audit criteria
  B. (1) Audit risks, (2) audit objectives
  C. (1) Penalties related to legal noncompliance, (2) materiality
  B. (1) Audit risks, (2) audit objectives

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  Explanation/Reference:

  The auditor should consider "audit risks" when determining the "audit objectives." Understanding the risks associated with the audit helps define the objectives clearly, ensuring that the audit focuses on the most significant areas of concern, aligns with the audit scope, and adequately addresses the risks identified.

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

• Question 52:

  Finnco, a subsidiary of a certification body, provided ISMS consultancy services to an organization. Considering this scenario, when can the certification body certify the organization?

  A. There is no time constraint in such a situation
  B. At no time, since it presents a conflict of interest
  C. If a minimum period of two years has passed since the last consulting activities
  B. At no time, since it presents a conflict of interest

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  Explanation/Reference:

  A certification body cannot certify an organization if it has provided consultancy services to that organization. This situation presents a conflict of interest, as the certification body is required to maintain impartiality and objectivity. The ISO/IEC 17021-1 standard, which sets out requirements for bodies providing audit and certification of management systems, specifies that providing both services to the same client is incompatible.

  References: ISO/IEC 17021-1:2015 Conformity assessment -- Requirements for bodies providing audit and certification of management systems

• Question 53:

  When an organisation needs to determine the resources required for the internal audit programme, which one of the following issues does not impact on the achievement of its intended results?

  A. Availability of competent auditors and technical experts.
  B. Access by the audit program manager to the competence records of the Information Security Management System manager.
  C. Availability of the necessary documented information.
  D. Impact of different time zones.
  B. Access by the audit program manager to the competence records of the Information Security Management System manager.

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  Explanation/Reference:

  While competence is important for an effective ISMS, the specific competence records of the ISMS manager are less relevant when determining resources for the internal audit program.

  The focus should be on resources directly related to the audit process itself. Here's why the other options matter:

  Availability of competent auditors and technical experts: Crucial for conducting thorough audits and accurately assessing the ISMS. Availability of the necessary documented information: Essential for auditors to review policies, procedures,

  and records related to the ISMS. Impact of different time zones: Can affect scheduling, coordination, and communication during the audit, potentially requiring additional resources.

  References:

  ISO/IEC 27001:2022, Section 9.2 (Internal Audit): Emphasizes the need for competent auditors and emphasizes planning the audit program. PECB Candidate Handbook, ISO/IEC 27001 Lead Auditor: Outlines the importance of having

  sufficient and appropriate resources for the internal audit program.

• Question 54:

  Scenario 3: NightCore is a multinational technology company based in the United States that focuses on e- commerce, cloud computing, digital streaming, and artificial intelligence. After having an information security management system (ISMS) implemented for over 8 months, they contracted a certification body to conduct a third party audit in order to get certified against ISO/IEC 27001.

  The certification body set up a team of seven auditors. Jack, the most experienced auditor, was assigned as the audit team leader. Over the years, he received many well known certifications, such as the ISO/IEC 27001 Lead Auditor, CISA, CISSP, and CISM.

  Jack conducted thorough analyses on each phase of the ISMS audit, by studying and evaluating every information security requirement and control that was implemented by NightCore. During stage 2 audit. Jack detected several nonconformities. After comparing the number of purchased invoices for software licenses with the software inventory, Jack found out that the company has been using the illegal versions of a software for many computers. He decided to ask for an explanation from the top management about this nonconformity and see whether they were aware about this. His next step was to audit NightCore's IT Department. The top management assigned Tom, NightCore's system administrator, to act as a guide and accompany Jack and the audit team toward the inner workings of their system and their digital assets infrastructure. While interviewing a member of the Department of Finance, the auditors discovered that the company had recently made some unusual large transactions to one of their consultants. After gathering all the necessary details regarding the transactions. Jack decided to directly interview the top management.

  When discussing about the first nonconformity, the top management told Jack that they willingly decided to use a copied software over the original one since it was cheaper. Jack explained to the top management of NightCore that using illegal versions of software is against the requirements of ISO/IEC 27001 and the national laws and regulations. However, they seemed to be fine with it.

  Several months after the audit, Jack sold some of NightCore's information that he collected during the audit for a huge amount of money to competitors of NightCore.

  Based on this scenario, answer the following question:

  What type of audit evidence has Jack collected when he identified the first nonconformity regarding the software? Refer to scenario 3.

  A. Analytical evidence
  B. Verbal evidence
  C. Mathematical evidence
  C. Mathematical evidence

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  Explanation/Reference:

  Jack collected mathematical evidence when he identified nonconformities by comparing the number of purchased invoices for software licenses with the software inventory. This type of evidence involves numerical, quantifiable data that highlights discrepancies and supports findings of compliance or non- compliance.

  References: ISO/IEC 27001:2013 Standard, general guidelines on auditing

• Question 55:

  Which four of the following statements about audit reports are true?

  A. Audit reports should be produced by the audit team leader with input from the audit team
  B. Audit reports should include or refer to the audit plan
  C. Audit reports should be sent to the organisation's top management first because their contents could be embarrassing
  D. Audit reports should be assumed suitable for general circulation unless they are specifically marked confidential
  E. Audit reports should only evidence nonconformity
  F. Audit reports should be produced within an agreed timescale
  G. Audit reports that are no longer required can be destroyed as part of the organisation's general waste
  H. Audit reports should always be reviewed by the client, dated, and signed as 'accepted'
  A. Audit reports should be produced by the audit team leader with input from the audit team
  B. Audit reports should include or refer to the audit plan
  F. Audit reports should be produced within an agreed timescale
  H. Audit reports should always be reviewed by the client, dated, and signed as 'accepted'

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  Explanation/Reference:

  According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, the audit reports should be produced by the audit team leader with input from the audit team, as they are responsible for collecting and analysing the audit

  evidence1. The audit reports should also include or refer to the audit plan, as it provides the basis for the audit objectives, scope, criteria, and methodology. Furthermore, the audit reports should be produced within an agreed timescale, as it

  is part of the audit programme management and ensures timely communication of the audit results3. Additionally, the audit reports should always be reviewed by the client, dated, and signed as `accepted', as it confirms the audit completion

  and the formal agreement on the audit findings and conclusions.

  The other statements are false because:

  Audit reports should not be sent to the organisation's top management first because their contents could be embarrassing, as this would compromise the audit impartiality and confidentiality5. Audit reports should be distributed according to

  the audit programme procedures and the audit plan.

  Audit reports should not be assumed suitable for general circulation unless they are specifically marked confidential, as this would violate the audit confidentiality and the protection of personal information. Audit reports should be treated as

  confidential documents and only shared with the authorised parties.

  Audit reports should not only evidence nonconformity, as this would limit the audit scope and value. Audit reports should also evidence conformity, improvement opportunities, good practices, and audit observations. Audit reports that are no

  longer required should not be destroyed as part of the organisation's general waste, as this would pose a risk to the audit confidentiality and the information security. Audit reports should be retained, disposed, or destroyed according to the

  audit programme procedures and the applicable legal requirements.

  References:

  1: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 32, section 4.4.3

  2: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4

  3: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 31, section 4.4.1

  4: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 34, section 4.4.5

  5: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. :

  PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. : PECB Candidate Handbook for ISO /IEC 27001 Lead Auditor, page

  32, section 4.4.3. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001

  Lead Auditor, page 34, section 4.4.5.

• Question 56:

  DRAG DROP

  In the context of a management system audit, please identify the sequence of a typical process of collecting and verifying information. The first one has been done for you.

  Select and Place:

  

  

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  Explanation/Reference:

  Identifying the source of information (already given)

  Gathering audit evidence: This involves collecting information from various sources such as documents, records, interviews, and observations.

  Sampling the available data: Due to the vast amount of information available, auditors typically use sampling techniques to select representative data for closer scrutiny.

  Verifying objective evidence: This involves checking the accuracy, completeness, and reliability of the collected evidence.

  Evaluating evidence against the audit criteria: Auditors compare the collected evidence to the established criteria (e.g., standards, policies, procedures) to assess compliance and effectiveness.

  Recording audit findings: This involves documenting the results of the evaluation, including observations, conclusions, and recommendations.

  Making audit conclusions: Based on the recorded findings, auditors formulate overall conclusions about the status of the management system.

  Therefore, the correct sequence is:

  1. Identifying the source of information

  2. Gathering audit evidence

  3. Sampling the available data

  4. Verifying objective evidence

  5. Evaluating evidence against the audit criteria

  6. Recording audit findings 7.Making audit conclusions

• Question 57:

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

  A. Determining the resources necessary for the audit programme
  B. Communicating with the auditee during the audit
  C. Determining the legal requirements applicable to each audit
  D. Keping informed the accreditation body on the progress of the audit programme
  E. Defining the objectives, scope and criteria for an individual audit
  F. Defining the plan of an individual audit
  A. Determining the resources necessary for the audit programme
  D. Keping informed the accreditation body on the progress of the audit programme

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  Explanation/Reference:

  Establishing the audit programme objectives, scope and criteria

  Determining the resources necessary for the audit programme, such as the audit team members, the budget, the time, the tools, etc.

  Selecting and appointing the audit team leaders and auditors

  Reviewing and approving the audit plans and arrangements

  Ensuring the effective communication and coordination among the audit programme stakeholders, such as the auditors, the auditees, the certification bodies, the accreditation bodies, etc. Keeping informed the accreditation body on the

  progress of the audit programme, especially in case of any significant changes, issues, or nonconformities Monitoring and reviewing the performance and results of the audit programme and the audit teams

  Evaluating the feedback and satisfaction of the auditees and other interested parties

  Identifying and implementing the opportunities for improvement of the audit programme

  The individual(s) managing the audit programme are not responsible for the following tasks, which are delegated to the audit team leaders or the auditors:

  Communicating with the auditee during the audit, such as conducting the opening and closing meetings, resolving any audit-related problems, reporting any audit findings, etc. Determining the legal requirements applicable to each audit, such

  as the confidentiality, the impartiality, the consent, the liability, etc. Defining the objectives, scope and criteria for an individual audit, which are derived from the audit programme and agreed with the auditee Defining the plan of an individual

  audit, which includes the audit schedule, the audit activities, the audit methods, the audit documents, etc.

  References:

  ISO 19011:2018 - Guidelines for auditing management systems

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

• Question 58:

  You are performing an ISO 27001 ISMS surveillance audit at a residential nursing home, ABC Healthcare Services. ABC uses a healthcare mobile app designed and maintained by a supplier, WeCare, to monitor residents' well-being. During the audit, you learn that 90% of the residents' family members regularly receive medical device advertisements from WeCare, by email and SMS once a week. The service agreement between ABC and WeCare prohibits the supplier from using residents' personal data. ABC has received many complaints from residents and their family members.

  The Service Manager says that the complaints were investigated as an information security incident which found that they were justified.

  Corrective actions have been planned and implemented according to the nonconformity and corrective action management procedure.

  You write a nonconformity "ABC failed to comply with information security control A.5.34 (Privacy and protection of PII) relating to the personal data of residents' and their family members. A supplier, WeCare, used residents' personal information to send advertisements to family members."

  Select three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity.

  A. ABC asks an ISMS consultant to test the ABC Healthcare mobile app for protection against cyber- crime.
  B. ABC cancels the service agreement with WeCare.
  C. ABC confirms that information security control A.5.34 is contained in the Statement of Applicability (SoA).
  D. ABC discontinues the use of the ABC Healthcare mobile app.
  E. ABC introduces background checks on information security performance for all suppliers.
  F. ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.
  G. ABC takes legal action against WeCare for breach of contract.
  H. ABC trains all staff on the importance of maintaining information security protocols.
  B. ABC cancels the service agreement with WeCare.
  E. ABC introduces background checks on information security performance for all suppliers.
  F. ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.

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  Explanation/Reference:

  The three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity are:

  ABC cancels the service agreement with WeCare.

  ABC introduces background checks on information security performance for all suppliers.

  ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.

  This option is a possible correction and corrective action that ABC could take to address the nonconformity. A correction is the action taken to eliminate a detected nonconformity, while a corrective action is the action taken to eliminate the

  cause of a nonconformity and to prevent its recurrence1. By cancelling the service agreement with WeCare, ABC could stop the unauthorized use of residents' personal data and protect their privacy and rights. This could also prevent further

  complaints and legal issues from the residents and their family members. However, this option may also have some drawbacks, such as the loss of a service provider, the need to find an alternative solution, and the potential impact on the

  residents' well-being.

  This option is a possible corrective action that ABC could take to address the nonconformity. By introducing background checks on information security performance for all suppliers, ABC could ensure that they select and work with reliable

  and trustworthy partners who respect the confidentiality, integrity, and availability of the information they handle. This could also help ABC to comply with information security control A.15.1.1 (Information security policy for supplier

  relationships), which requires the organisation to agree and document information security requirements for mitigating the risks associated with supplier access to the organisation's assets. This option is a possible corrective action that ABC

  could take to address the nonconformity. By periodically monitoring compliance with all applicable legislation and contractual requirements involving third parties, ABC could verify that the suppliers are fulfilling their obligations and

  responsibilities regarding information security. This could also help ABC to comply with information security control A.18.1.1 (Identification of applicable legislation and contractual requirements), which requires the organisation to identify,

  document, and keep up to date the relevant legislative, regulatory, contractual, and other requirements to which the organisation is subject.

• Question 59:

  You are conducting an ISMS audit. The next step in your audit plan is to verify that the organisation's information security risk treatment plan has been established and implemented properly. You decide to interview the IT security manager.

  You: Can you please explain how the organisation performs its information security risk assessment and treatment process?

  IT Security Manager: We follow the information security risk management procedure which generates a risk treatment plan.

  Narrator: You review risk treatment plan No. 123 relating to the planned installation of an electronic (invisible) fence to improve the physical security of the nursing home. You found the risk treatment plan was approved by IT Security

  Manager.

  You: Who is responsible for physical security risks?

  IT Security Manager: The Facility Manager is responsible for the physical security risk. The IT department helps them to monitor the alarm. The Facility Manager is authorized to approve the budget for risk treatment plan No. 123.

  You: What residual information security risks exist after risk treatment plan No. 123 was implemented?

  IT Security Manager: There is no information for the acceptance of residual information security risks as far as I know.

  You prepare your audit findings. Select three options for findings that are justified in the scenario.

  A. Nonconformity (NC) - The information for the acceptance of residual information security risks should be updated after the risk treatment is implemented. Clause 6.1.3.f
  B. There is an opportunity for improvement (OI) to conduct security checks on the perimetre fence
  C. There is an opportunity for improvement (OI) once the Electronic (invisible) fence is installed. Residents' physical security is improved
  D. Nonconformity (NC) - Top management must ensure that the resources needed for the ISMS are available. Clause 5.1.c
  E. Nonconformity (NC) - The IT security manager should be aware of and understand his authority and area of responsibility. Clause 7.3
  F. Nonconformity (NC) - The organization should provide the resources needed for the continual improvement of the ISMS. Clause 7.1
  G. Nonconformity (NC) - The risk treatment plan No. 123 should be approved by the risk owner, the Facility Manager in this case. Clause 6.1.3.f
  H. It is good practice to adopt state-of-the-art technology as part of the continual improvement process
  A. Nonconformity (NC) - The information for the acceptance of residual information security risks should be updated after the risk treatment is implemented. Clause 6.1.3.f
  E. Nonconformity (NC) - The IT security manager should be aware of and understand his authority and area of responsibility. Clause 7.3
  G. Nonconformity (NC) - The risk treatment plan No. 123 should be approved by the risk owner, the Facility Manager in this case. Clause 6.1.3.f

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  Explanation/Reference:

  The three options for findings that are justified in the scenario are:

  Nonconformity (NC) - The information for the acceptance of residual information security risks should be updated after the risk treatment is implemented. Clause 6.1.3.f Nonconformity (NC) - The IT security manager should be aware of and

  understand his authority and area of responsibility. Clause 7.3 Nonconformity (NC) - The risk treatment plan No. 123 should be approved by the risk owner, the Facility Manager in this case. Clause 6.1.3.f

  According to ISO/IEC 27001:2022, clause 6.1.3.f, the organisation must retain documented information that includes the information for the acceptance of residual information security risks, and the approval of the risk treatment plan by the

  risk owner1. Therefore, option A and G are justified as nonconformities, because the organisation failed to update the information for the acceptance of residual risks, and the risk treatment plan was approved by the IT security manager, who

  is not the risk owner.

  According to ISO/IEC 27001:2022, clause 7.3, the organisation must ensure that the persons assigned to perform the roles and responsibilities for the ISMS are competent, and are aware of the consequences of not conforming to the ISMS

  requirements2. Therefore, option E is justified as a nonconformity, because the IT security manager, who is responsible for the information security risk management process, was not aware of his authority and area of responsibility.

  The other options are not justified as findings, because they are either irrelevant or incorrect. For example:

  Option B is irrelevant, because it is not related to the information security risk treatment plan No. 123, which is the focus of the audit. Option C is incorrect, because it is not an opportunity for improvement, but rather a benefit of the risk

  treatment plan No. 123, which is already implemented. Option D is incorrect, because it is not a nonconformity, but rather a requirement for the organisation to provide the resources needed for the ISMS, which is not the same as the

  resources needed for the risk treatment plan No. 123. Option F is incorrect, because it is not a nonconformity, but rather a requirement for the organisation to provide the resources needed for the continual improvement of the ISMS, which is

  not the same as the resources needed for the risk treatment plan No. 123.

  Option H is irrelevant, because it is not a finding, but rather a good practice, which is not the objective of the audit.

  References: 1: ISO/IEC 27001:2022, 6.1.3.f; 2: ISO/IEC 27001:2022, 7.3; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

• Question 60:

  Which statement below best describes the relationship between information security aspects?

  A. Threats exploit vulnerabilities to damage or destroy assets
  B. Controls protect assets by reducing threats
  C. Risk is a function of vulnerabilities that harm assets
  A. Threats exploit vulnerabilities to damage or destroy assets

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  Explanation/Reference:

  This statement encapsulates the relationship between threats, vulnerabilities, and assets within the context of information security. Threats are potential causes of an unwanted incident, which may result in harm to a system or organization. Vulnerabilities are weaknesses that can be exploited by threats to cause harm. Assets are valuable resources to an organization that need protection. Therefore, when threats exploit vulnerabilities, they can damage or destroy assets. References: = The explanation is based on the foundational concepts of information security as outlined in ISO/IEC 27001, which includes understanding the interplay between threats, vulnerabilities, and assets as part of an information security management system (ISMS)