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

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

• Question 71:

  In the context of a third-party certification audit, which two options state the management responsibilities of the audit team leader in managing the audit and the audit team?

  A. Interviewing the ISMS manager
  B. Adopting a risk-based approach to planning the audit
  C. Auditing top management
  D. Establishing contact with the auditee
  E. Issuing the management system certificate
  F. Preparing the audit nonconformity reports
  B. Adopting a risk-based approach to planning the audit
  D. Establishing contact with the auditee

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  Explanation/Reference:

  In the context of a third-party certification audit, the management responsibilities of the audit team leader in managing the audit and the audit team include adopting a risk-based approach to planning the audit and establishing contact with the auditee. A risk-based approach to planning the audit means that the team leader should consider the risks and opportunities that may affect the achievement of the audit objectives, the scope and criteria, the audit methods and techniques, the allocation of resources and the assignment of tasks to the audit team members. Establishing contact with the auditee means that the team leader should communicate with the auditee before, during and after the audit, to confirm the audit arrangements, to obtain relevant information, to address any issues or concerns, to provide feedback and to report the audit results and conclusions. References: = ISO 19011:2022, clauses 6.4.1 and 6.4.2; PECB Candidate Handbook ISO 27001 Lead Auditor, pages 24 and 25.

• Question 72:

  A decent visitor is roaming around without visitor's ID. As an employee you should do the following, except:

  A. Say "hi" and offer coffee
  B. Call the receptionist and inform about the visitor
  C. Greet and ask him what is his business
  D. Escort him to his destination
  A. Say "hi" and offer coffee

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  Explanation/Reference:

  As an employee, you should do the following when you see a visitor roaming around without visitor's ID, except saying "hi" and offering coffee. Saying "hi" and offering coffee is not an appropriate action, as it may imply that you are welcoming or endorsing the visitor without verifying their identity or purpose. This may also give the visitor an opportunity to gain your trust or exploit your kindness. Calling the receptionist and informing about the visitor is an appropriate action, as it alerts the responsible staff to handle the situation and ensure that the visitor is authorized and registered. Greeting and asking him what is his business is an appropriate action, as it shows your concern and curiosity about the visitor's presence and intention. Escorting him to his destination is an appropriate action, as it prevents the visitor from wandering around unattended and accessing unauthorized areas or information. References: CQI and IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 42. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.

• Question 73:

  Scenario 5: Data Grid Inc. is a well-known company that delivers security services across the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their networks through advanced products and services. Having achieved reputation in the information and network security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and customer assets and gain competitive advantage.

  Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The audit team followed a risk-based auditing approach.

  To gain an overview of the main business processes and controls, the audit team accessed process descriptions and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk that a significant defect could occur to Data Grid Inc.'s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by asking the representatives of Data Grid Inc. the following questions:

  How are responsibilities for IT and IT controls defined and assigned?

  How does Data Grid Inc. assess whether the controls have achieved the desired results?

  What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious software?

  Are firewall-related controls implemented?

  Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.

  The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management. Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised between Data Grid Inc.

  and the certification body in regards to audit objectives. Data Grid Inc. stated that even though the audit objectives included the identification of areas for potential improvement, the audit team did not provide such information.

  Based on this scenario, answer the following question:

  Data Grid Inc. is responsible for all the actions below, EXCEPT:

  A. Specifying the audit criteria
  B. Appointing the audit team
  C. Defining the audit scope
  B. Appointing the audit team

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  Explanation/Reference:

  In the context of ISO/IEC 27001 audits, the audit team is appointed by the certification body, not by the organization being audited. Data Grid Inc. is responsible for specifying the audit criteria and defining the audit scope, but not for appointing the audit team.

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

• Question 74:

  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.

  Your colleague seems unsure as to the difference between an information security event and an information security incident. You attempt to explain the difference by providing examples. Which three of the following scenarios can be defined as information security incidents?

  A. The organisation's malware protection software prevents a virus
  B. A hard drive is used after its recommended replacement date
  C. The organisation receives a phishing email
  D. An employee fails to clear their desk at the end of their shift
  E. A contractor who has not been paid deletes top management ICT accounts
  F. An unhappy employee changes payroll records without permission
  G. The organisation fails a third-party penetration test
  H. The organisation's marketing data is copied by hackers and sold to a competitor
  E. A contractor who has not been paid deletes top management ICT accounts
  F. An unhappy employee changes payroll records without permission
  H. The organisation's marketing data is copied by hackers and sold to a competitor

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  Explanation/Reference:

  According to ISO/IEC 27000:2018, which provides an overview and vocabulary of information security management systems, an information security event is an identified occurrence of a system, service or network state indicating a possible breach of information security policy or failure of safeguards, or a previously unknown situation that may be security relevant1. An information security incident is a single or a series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security1. Therefore, based on this definition, three examples of information security incidents are:

  A contractor who has not been paid deletes top management ICT accounts: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of access, data, or functionality for the top management.

  An unhappy employee changes payroll records without permission: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in financial fraud, legal liability, or reputational damage for the organization.

  The organisation's marketing data is copied by hackers and sold to a competitor: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of confidentiality, competitive advantage, or customer trust for the organization.

  The other options are not examples of information security incidents, but rather information security events that may or may not lead to incidents depending on their impact and severity. For example:

  The organisation's malware protection software prevents a virus: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, as it is prevented by the malware protection software.

  A hard drive is used after its recommended replacement date: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it fails or causes other problems.

  The organisation receives a phishing email: This is an example of an identified occurrence of a network state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it is opened or responded to by the recipient.

  An employee fails to clear their desk at the end of their shift: This is an example of an identified occurrence of a service state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the desk contains sensitive or confidential information that is accessed by unauthorized persons.

  The organisation fails a third-party penetration test: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the penetration test reveals serious vulnerabilities that are exploited by malicious actors.

  References: ISO/IEC 27000:2018 - Information technology ?Security techniques ?Information security management systems ?Overview and vocabulary

• Question 75:

  Scenario 5: Data Grid Inc. is a well-known company that delivers security services across the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their networks through advanced products and services. Having achieved reputation in the information and network security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and customer assets and gain competitive advantage.

  Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The audit team followed a risk-based auditing approach.

  To gain an overview of the main business processes and controls, the audit team accessed process descriptions and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk that a significant defect could occur to Data Grid Inc.'s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by asking the representatives of Data Grid Inc. the following questions:

  How are responsibilities for IT and IT controls defined and assigned?

  How does Data Grid Inc. assess whether the controls have achieved the desired results?

  What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious software?

  Are firewall-related controls implemented?

  Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.

  The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management. Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised between Data Grid Inc. and the certification body in regards to audit objectives. Data Grid Inc. stated that even though the audit objectives included the identification of areas for potential improvement, the audit team did not provide such information.

  Based on this scenario, answer the following question:

  Based on scenario 5, the audit team assessed the ISMS as a whole, rather than assessing the effectiveness and conformity of each process. Is this acceptable?

  A. Yes, due to time constraints for the audit completion, the audit team must obtain absolute assurance by assessing the ISMS as a whole
  B. No, the audit team should obtain assurance that the ISMS conforms to the standard requirements by assessing each process
  C. Yes, if the audit team has obtained a reasonable assurance that helps them evaluate the ISMS conformity
  C. Yes, if the audit team has obtained a reasonable assurance that helps them evaluate the ISMS conformity

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  Explanation/Reference:

  Yes, assessing the ISMS as a whole can be acceptable if the audit team obtains reasonable assurance that the system conforms to the standard requirements. The approach taken by the audit team must still ensure that all significant aspects of the ISMS are evaluated adequately, and if this is achieved through a holistic assessment, it is considered sufficient.

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

• Question 76:

  Which one of the following options is the definition of the context of an organisation?

  A. The control of internal and external issues that can have an effect on an organisation's desire to achieve its objectives
  B. Complexity of internal and external issues that can have an effect on an organisation's approach to developing and achieving its purpose
  C. A combination of internal and external issues that can have an effect on an organisation's approach to developing and achieving its objectives
  D. The coordination of internal and external issues that can have a positive or negative effect on an organisation's success
  C. A combination of internal and external issues that can have an effect on an organisation's approach to developing and achieving its objectives

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  Explanation/Reference:

  The context of the organisation is the business environment in which the organisation operates and defines its information security management system (ISMS). It includes the internal and external factors and conditions that can influence the organisation's information security objectives, strategies, and policies. The context of the organisation helps the organisation to identify the scope, boundaries, and requirements of the ISMS, as well as the interested parties and their expectations. The context of the organisation is determined by considering both internal and external issues, such as the organisational structure, culture, values, mission, vision, objectives, strategies, resources, capabilities, processes, activities, products, services, markets, customers, competitors, suppliers, partners, regulators, laws, regulations, standards, guidelines, best practices, risks, opportunities, threats, vulnerabilities, etc. References: ISO 27001:2022 Clause 4 Context of the organization, ISO 27001 Requirement 4.1 ?Understanding the Context of the Organisation, ISO 27001 context of the organization ?How to define it - Advisera

• Question 77:

  During a third-party certification audit you are presented with a list of issues by an auditee.

  Which four of the following constitute 'external' issues in the context of a management system to ISO/IEC 27001:2022?

  A. A rise in interest rates in response to high inflation
  B. A reduction in grants as a result of a change in government policy
  C. Poor levels of staff competence as a result of cuts in training expenditure
  D. Increased absenteeism as a result of poor management
  E. Higher labour costs as a result of an aging population
  F. Inability to source raw materials due to government sanctions
  G. Poor morale as a result of staff holidays being reduced
  H. A fall in productivity linked to outdated production equipment
  A. A rise in interest rates in response to high inflation
  B. A reduction in grants as a result of a change in government policy
  E. Higher labour costs as a result of an aging population
  F. Inability to source raw materials due to government sanctions

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  Explanation/Reference:

  According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 4.1 requires an organization to determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcomes of its ISMS2. External issues are those that originate from outside the organization, such as legal, regulatory, cultural, social, political, economic, natural and competitive factors. Internal issues are those that originate from within the organization, such as governance, structure, roles and responsibilities, policies, objectives, culture, capabilities, resources and information systems. Therefore, based on this definition, four examples of external issues in the context of a management system to ISO/IEC 27001:2022 are a rise in interest rates in response to high inflation (which affects the economic environment of the organization), a reduction in grants as a result of a change in government policy (which affects the political and legal environment of the organization), higher labour costs as a result of an aging population (which affects the social and demographic environment of the organization), and inability to source raw materials due to government sanctions (which affects the trade and supply environment of the organization). The other options are examples of internal issues, as they originate from within the organization or its activities. For example, poor levels of staff competence as a result of cuts in training expenditure (which affects the capabilities and resources of the organization), increased absenteeism as a result of poor management (which affects the culture and performance of the organization), poor morale as a result of staff holidays being reduced (which affects the motivation and satisfaction of the organization's personnel), and a fall in productivity linked to outdated production equipment (which affects the efficiency and quality of the organization's processes)2. References: ISO/IEC 27001:2022 - Information technology Security techniques ? Information security management systems ?Requirements

• Question 78:

  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:

  According to scenario 3, which audit principle has Jack compromised when he sold NightCore's information after the audit?

  A. Independence
  B. Integrity
  C. Confidentiality
  C. Confidentiality

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  Explanation/Reference:

  Jack compromised the audit principle of confidentiality by selling NightCore's information after the audit. Confidentiality ensures that information is accessible only to those authorized to have access and is protected throughout its lifecycle.

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

• Question 79:

  Which two of the following options do not participate in a second-party audit to ISO/IEC 27001?

  A. An auditor certified by an auditor certification body
  B. An auditor employed by a certification body
  C. An auditor employed by an external consultancy organisation
  D. An auditor from an accreditation body
  E. An auditor trained in the CQI and IRCA scheme
  F. An internal auditor from a customer
  D. An auditor from an accreditation body
  E. An auditor trained in the CQI and IRCA scheme

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  Explanation/Reference:

  Second-Party Audits: These involve an organization (the customer) auditing another organization with which it has a relationship (such as a supplier). The focus is on ensuring the supplier meets the customer's information security

  requirements.

  Accreditation Bodies: These assess the competence of certification bodies but don't directly participate in second-party audits.

  CQI and IRCA: These organizations provide auditor certifications but their training alone doesn't automatically qualify someone for second-party ISO/IEC 27001 audits. The auditor should have specific knowledge of the standard.

  References:

  ISO/IEC 17021-1:2015 Conformity assessment -- Requirements for bodies providing audit and certification of management systems: Provides requirements for certification bodies but also outlines how first-, second-, and third-party audits

  work.

  PECB Candidate Handbook, ISO/IEC 27001 Lead Auditor: Explains the distinctions between first, second, and third-party audits, clarifying that second-party audits are usually between organizations with a prior relationship.

• Question 80:

  DRAG DROP

  The following options are key actions involved in a first-party audit. Order the stages to show the sequence in which the actions should take place.

  Select and Place:

  

  

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  Explanation/Reference:

  The correct order of the stages is: Prepare the audit checklist Gather objective evidence Review audit evidence Document findings

  Audit preparation: This stage involves defining the audit objectives, scope, criteria, and plan. The auditor also prepares the audit checklist, which is a list of questions or topics that will be covered during the audit. The audit checklist helps the auditor to ensure that all relevant aspects of the ISMS are addressed and that the audit evidence is collected in a systematic and consistent manner. Audit execution: This stage involves conducting the audit activities, such as opening meeting, interviews, observations, document review, and closing meeting. The auditor gathers objective evidence, which is any information that supports the audit findings and conclusions. Objective evidence can be qualitative or quantitative, and can be obtained from various sources, such as records, statements, physical objects, or observations. Audit reporting: This stage involves reviewing the audit evidence, evaluating the audit findings, and documenting the audit results. The auditor reviews the audit evidence to determine whether it is sufficient, reliable, and relevant to support the audit findings. The auditor evaluates the audit findings to determine the degree of conformity or nonconformity of the ISMS with the audit criteria. The auditor documents the audit results in an audit report, which is a formal record of the audit process and outcomes. The audit report typically includes the following elements: Audit follow-up: This stage involves verifying the implementation and effectiveness of the corrective actions taken by the auditee to address the audit findings. The auditor monitors the progress and completion of the corrective actions, and evaluates their impact on the ISMS performance and conformity. The auditor may conduct a follow-up audit to verify the corrective actions on-site, or may rely on other methods, such as document review, remote interviews, or self-assessment by the auditee. The auditor documents the follow-up results and updates the audit report accordingly. References: PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-25 ISO 19011:2018 - Guidelines for auditing management systems The ISO 27001 audit process | ISMS.online