PECB ISO-IEC-27001-Lead-Auditor - PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

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Total 418 questions

As the Information Security Management System audit team leader, you are conducting a second-party audit of an international logistics company on behalf of an online retailer. During the audit, one of your team members reports a nonconformity relating to control 5.18 (Access rights) of Appendix A of ISO/IEC 27001:2022. She found evidence that removing the server access protocols of 20 people who left in the last 3 months took up to 1 week whereas the policy required removing access within 24 hours of their departure.

When the auditee was asked why there was a delay in removing access they replied, 'no one was available in the IT department during that period as a result of COVID-19. As soon as an IT officer became available the rights were removed.

You note that she intends to raise a minor non-conformity against Access rights control (5.18). How should you respond to this?

Agree with the raising of a minor non-conformity but against control 5.15, not 5.18.

Agree with the raising of the minor non-conformity against 5.18.

Disagree with the raising of a minor conformity as appropriate action was taken at the earliest opportunity Take no further action.

Disagree with the raising of the minor nonconformity as appropriate action was taken at the earliest opportunity. Instead raise an opportunity for improvement.

Disagree with the raising of the minor nonconformity, there is sufficient evidence to justify an escalation to a major non-conformity.

Require additional audit evidence to be obtained before determining whether a non-conformity is appropriate.

Question # 62

Select the words that best complete the sentence:

Question # 63

You are conducting an ISMS audit in the despatch department of an international logistics organisation that provides shipping services to large organisations including local hospitals and government offices. Parcels typically contain pharmaceutical products, biological samples, and documents such as passports and driving licences. You note that the company records show a very large number of returned items with causes including misaddressed labels and, in 15% of cases, two or more labels for different addresses for the one package. You are interviewing the Shipping Manager (SM).

You: Are items checked before being dispatched?

SM: Any obviously damaged items are removed by the duty staff before being dispatched, but the small profit margin makes it uneconomic to

implement a formal checking process.

You: What action is taken when items are returned?

SM: Most of these contracts are relatively low value, therefore it has been decided that it is easier and more convenient to simply reprint the label and re-send individual parcels than it is to implement an investigation.

You raise a nonconformity. Referencing the scenario, which three of the following Annex A controls would you expect the auditee to have implemented when you conduct the follow-up audit?

5.11 Return of assets

5.13 Labelling of information

5.3 Segregation of duties

5.32 Intellectual property rights

5.34 Privacy and protection of personal identifiable information (PII)

5.6 Contact with special interest groups

6.3 Information security awareness, education, and training

6.4 Disciplinary process

Explanation:

The three Annex A controls that you would expect the auditee to have implemented when you conduct the follow-up audit are:

B. 5.13 Labelling of information

E. 5.34 Privacy and protection of personal identifiable information (PII)

G. 6.3 Information security awareness, education, and training

B. This control requires the organisation to label information assets in accordance with the information classification scheme, and to handle them accordingly12. This control is relevant for the auditee because it could help them to avoid misaddressing labels and sending parcels to wrong destinations, which could compromise the confidentiality, integrity, and availability of the information assets. By labelling the information assets correctly, the auditee could also ensure that they are delivered to the intended recipients and that they are protected from unauthorized access, use, or disclosure.

E. This control requires the organisation to protect the privacy and the rights of individuals whose personal identifiable information (PII) is processed by the organisation, and to comply with the applicable legal and contractual obligations13. This control is relevant for the auditee because it could help them to prevent the unauthorized use of residentsâ€™ personal data by a supplier, which could violate the privacy and the rights of the residents and their family members, and expose the auditee to legal and reputational risks. By protecting the PII of the residents and their family members, the auditee could also enhance their trust and satisfaction, and avoid complaints and disputes.

G. This control requires the organisation to ensure that all employees and contractors are aware of the information security policy, their roles and responsibilities, and the relevant information security procedures and controls14. This control is relevant for the auditee because it could help them to improve the information security culture and behaviour of their staff, and to reduce the human errors and negligence that could lead to information security incidents. By providing information security awareness, education, and training to their staff, the auditee could also increase their competence and performance, and ensure the effectiveness and efficiency of the information security processes and controls.

[References:, 1: ISO/IEC 27001:2022 - Information technology â€” Security techniques â€” Information security management systems â€” Requirements, Annex A 2: ISO/IEC 27002:2022 - Information technology â€” Security techniques â€” Code of practice for information security controls, clause 8.2.1 3: ISO/IEC 27002:2022 - Information technology â€” Security techniques â€” Code of practice for information security controls, clause 18.1.4 4: ISO/IEC 27002:2022 - Information technology â€” Security techniques â€” Code of practice for information security controls, clause 7.2.2, , ]

Question # 64

Which is the glue that ties the triad together

Process

People

Collaboration

Technology

Question # 65

Scenario 9

CloudFort, a small networking company, provides network security, cloud computing, and virtualization solutions. The company has recently been certified in an information security management system (ISMS) based on the ISO/IEC 27001 standard, which has resulted in a spike in its recognition, confirming the maturity of CloudFortâ€™s operation.

CloudFort continually reviewed and enhanced its security controls and the overall effectiveness and efficiency of the ISMS by conducting internal audits. Due to its size and desire for greater objectivity, the top management decided to outsource the internal audit function to ensure the internal audit is independent of the audited activities and holds an advisory role in the continual improvement of the ISMS.

After the initial certification audit, the company created a new department specializing in data storage solutions. It offered routers and switches optimized for data centers and software-based networking devices, such as network virtualization and network security appliances. Because of the new department, CloudFort initiated a risk assessment process and an internal audit. Following the internal audit results, the company confirmed the effectiveness and efficiency of the new processes and controls.

After determining that the new department fully complies with ISO/IEC 27001 requirements, top management decided to include it in the certification scope. They submitted a request to the certification body for an extension of the certification scope to ensure that the departmentâ€™s processes and security measures fully align with the overall ISMS.

One year after the initial certification audit, the certification body conducted another audit of CloudFort's ISMS. This audit aimed to determine CloudFortâ€™s ISMS fulfillment of specified ISO/IEC 27001 requirements and ensure that the ISMS is being continually improved. The audit team confirmed that the certified ISMS fulfills the standard requirements. Nonetheless, the new department introduced changes that significantly affected how the overall management system was governed, requiring updates to existing processes and controls.

Moreover, although CloudFort requested an extension of the certification scope, they failed to provide timely updates on the impact of the new department on the ISMS to the certification body. Thus, CloudFortâ€™s certification was suspended.

Question

CloudFort requested an extension of the certification scope to include the new department. How would you classify this situation? Refer to Scenario 9.

Unacceptable, because the extension should have been included in the initial certification scope and cannot be added afterward unless a major recertification process is undertaken.

Acceptable, many auditees can define a reduced scope for the first certification and then request for an extension during the following years.

Unacceptable, as expanding the scope requires a complete audit of the organization again.

Question # 66

Scenario 1

Fintive is a distinguished security provider specializing in online payments and protection solutions. Founded in 1999 by Thomas Fin in San Jose, California, Fintive offers services to companies operating online that seek to improve their information security, prevent fraud, and protect user information such as personally identifiable information (PII).

Fintive bases its decision-making and operational processes on previous cases, gathering customer data, classifying them according to the case, and analyzing them.

Initially, Fintive required a large number of employees to be able to conduct such complex analyses. However, as technology advanced, the company recognized an opportunity to implement a modern tool â€” a chatbot â€” to achieve pattern analyses aimed at preventing fraud in real time. This tool would also assist in improving customer service.

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

After successfully integrating the chatbot, the company released it for customer use. However, the chatbot exhibited several issues. Due to insufficient testing and a lack of sample data provided during the training phase â€” when it was supposed to learn the query patterns â€” the chatbot failed to effectively address user queries. Additionally, it sent random files to users when it encountered invalid inputs, such as unusual patterns of dots and special characters.

Consequently, the chatbot could not effectively answer customer queries, overwhelming traditional customer support and preventing them from assisting customers with their requests.

Recognizing the potential risks, Fintive decided to implement a set of new controls. The measures included enabling comprehensive audit logging, configuring automated alert systems to flag unusual activities, performing periodic access reviews, and monitoring system behavior for anomalies. The objective was to identify unauthorized access, errors, or suspicious activities in a timely manner, ensuring that any potential issues could be quickly recognized and investigated before causing significant harm.

Question

Based on the scenario above, to ensure the protection of information privacy, Fintive decided to implement security controls. Is this acceptable?

Yes, but only if the security controls do not interfere with the daily operations of Fintive.

No, because implementing too many controls on top of the chatbot could lead to a decrease in organizational efficiency.

Yes, in order to ensure information privacy, organizations have to implement security controls.

Explanation:

From Exact Extract:

1. ISO/IEC 27001:2022 â€“ Obligation to implement security controls

ISO/IEC 27001:2022 requires organizations to implement information security controls to address identified risks, particularly where personally identifiable information (PII) is processed.

Under Clause 6.1.3 â€“ Information security risk treatment, the standard requires that an organization:

â€œDetermine all controls that are necessary to implement the information security risk treatment option(s) chosen.â€

In this scenario, the chatbot introduced new and unmitigated risks, including:

Incorrect handling of user input

Potential unauthorized disclosure of information (sending random files)

Processing of PII without sufficient safeguards

Therefore, implementing additional security controls is mandatory, not optional.

2. ISO/IEC 27002:2022 â€“ Privacy and monitoring controls

The controls implemented by Fintive directly align with Annex A of ISO/IEC 27002:2022, including:

A.5.34 â€“ Privacy and protection of PIIRequires organizations to protect personal data in line with legal, regulatory, and contractual requirements.

A.8.15 â€“ LoggingRequires audit logs to be enabled to record events for investigation.

A.8.16 â€“ Monitoring activitiesRequires monitoring systems to detect anomalous behavior.

A.5.18 â€“ Access rightsRequires periodic access reviews to prevent unauthorized access.

These controls are explicitly designed to detect errors, misuse, unauthorized access, and suspicious behavior â€” exactly the risks described in the scenario.

3. Why the other options are incorrect

Option A â€“ IncorrectISO/IEC 27001 does not permit organizations to avoid implementing controls simply because they may affect operations. Operational impact is considered during risk assessment, but security and privacy obligations take precedence, especially for PII.

Option B â€“ IncorrectISO/IEC 27001 does not limit the number of controls. Controls must be appropriate to the risk, not minimized for efficiency. A reduction in efficiency does not justify non-compliance or privacy violations.

4. Auditor conclusion

Implementing security controls to protect information privacy is:

Required by ISO/IEC 27001:2022

Consistent with ISO/IEC 27002:2022 Annex A controls

Appropriate given the identified risks

A correct application of risk treatment and continual improvement

Question # 67

Scenario 9: Techmanic is a Belgian company founded in 1995 and currently operating in Brussels. It provides IT consultancy, software design, and hardware/software services, including deployment and maintenance. The company serves sectors like public services, finance, telecom, energy, healthcare, and education. As a customer-centered company, it prioritizes strong client relationships and leading security practices.

Techmanic has been ISO/IEC 27001 certified for a year and regards this certification with pride. During the certification audit, the auditor found some inconsistencies in its ISMS implementation. Since the observed situations did not affect the capability of its ISMS to achieve the intended results, Techmanic was certified after auditors followed up on the root cause analysis and corrective actions remotely During that year, the company added hosting to its list of services and requested to expand its certification scope to include that area The auditor in charge approved the request and notified Techmanic that the extension audit would be conducted during the surveillance audit

Techmanic underwent a surveillance audit to verify its iSMS's continued effectiveness and compliance with ISO/IEC 27001. The surveillance audit aimed to ensure that Techmanicâ€™s security practices, including the recent addition of hosting services, aligned seamlessly with the rigorous requirements of the certification

The auditor strategically utilized the findings from previous surveillance audit reports in the recertification activity with the purpose of replacing the need for additional recertification audits, specifically in the IT consultancy sector. Recognizing the value of continual improvement and learning from past assessments. Techmanic implemented a practice of reviewing previous surveillance audit reports. This proactive approach not only facilitated identifying and resolving potential nonconformities but also aimed to streamline the recertification process in the IT consultancy sector.

During the surveillance audit, several nonconformities were found. The ISMS continued to fulfill the ISO/IEC 27001*s requirements, but Techmanic failed to resolve the nonconformities related to the hosting services, as reported by its internal auditor. In addition, the internal audit report had several inconsistencies, which questioned the independence of the internal auditor during the audit of hosting services. Based on this, the extension certification was not granted. As a result. Techmanic requested a transfer to another certification body. In the meantime, the company released a statement to its clients stating that the ISO/IEC 27001 certification covers the IT services, as well as the hosting services.

Based on the scenario above, answer the following question:

Question:

Is the internal auditor responsible for following up on action plans resulting from external audits?

No, the internal auditor should follow up on action plans submitted in response to nonconformities resulting only from internal audits

Yes, only if minor nonconformities have been detected during the external audit

Yes, the internal auditor should follow up on action plans submitted during internal and external audits

Question # 68

Based on the scenario above, answer the following question:

Question:

According to Scenario 9, the auditor decided to conduct the extension audit during the surveillance audit. How do you define this situation?

Acceptable, as extension audits are conducted during the surveillance audit

Unacceptable, as the auditor cannot approve the extension audit

Unacceptable, as extension audits are only conducted after the second year of the initial certification audit

Question # 69

You are an ISMS audit team leader preparing to chair a closing meeting following a third-party surveillance audit. You are drafting a closing meeting agenda setting out the topics you wish to discuss with your auditee.

Which one of the following would be appropriate for inclusion?

A detailed explanation of the certification body's complaints process

An explanation of the audit plan and its purpose

A disclaimer that the result of the audit is based on the sampling of evidence

Names of auditees associated with nonconformities

Explanation:

This option is appropriate for inclusion in the closing meeting agenda, as it is a requirement of the ISO 19011 standard, which provides guidelines for auditing management systems, including ISMS12. The standard states that the audit team leader should advise the auditee of any situations encountered during the audit that may decrease the confidence that can be placed in the audit conclusions, such as limitations in the audit scope, access, or sampling3. The standard also states that the audit report should include a statement that the audit is based on a sample of the information available at the time of the audit, and that the audit does not provide absolute assurance of the conformity or effectiveness of the audited management system4. Therefore, the audit team leader should include a disclaimer in the closing meeting agenda to inform the auditee of the nature and limitations of the audit, and to avoid any misunderstandings or false expectations. The other options are not appropriate for inclusion in the closing meeting agenda, as they are either irrelevant, incorrect, or incomplete. For example:

â€¢A detailed explanation of the certification bodyâ€™s complaints process is not relevant for the closing meeting agenda, as it is not related to the audit findings or conclusions. The certification bodyâ€™s complaints process should be communicated to the auditee before the audit, as part of the audit agreement or contract5.

â€¢An explanation of the audit plan and its purpose is not correct for the closing meeting agenda, as it should have been done at the opening meeting or before the audit. The audit plan is a document that describes the scope, objectives, criteria, and methodology of the audit, as well as the audit schedule, the audit team, the audit locations, and the audit deliverables . The audit plan should be communicated and agreed with the auditee in advance, and any changes or deviations should be notified during the audit.

â€¢Names of auditees associated with nonconformities are not complete for the closing meeting agenda, as they do not provide the details or the evidence of the nonconformities. The audit team leader should present the audit findings, which include the description, the audit criteria, and the audit evidence of each nonconformity, as well as the audit conclusions and the audit recommendation . The audit team leader should also avoid naming or blaming individuals, and focus on the processes and the system.

[References: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 222: ISO 19011:2018 Guidelines for auditing management systems, clause 13: ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.94: ISO 19011:2018 Guidelines for auditing management systems, clause 7.5.25: ISO/IEC 17021-1:2015 Conformity assessment â€” Requirements for bodies providing audit and certification of management systems â€” Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology â€” Security techniques â€” Guidelines for information security management systems auditing, clause 6.2.1. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.2. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.10. : ISO/IEC 27007:2011 Information technology â€” Security techniques â€” Guidelines for information security management systems auditing, clause 6.3.3., , , ]

Question # 70

Question

During a certification audit at Company X, the audit team leader noticed that some HR processes are excluded from the audit scope. However, these processes are included in the company's ISMS scope.

Is this acceptable?

Yes, the audit scope can be narrower than the ISMS scope, provided it aligns with the audit program and objectives.

No, all processes listed in the ISMS scope must be audited.

Yes, only IT-related processes must be included in the audit scope.

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PECB ISO-IEC-27001-Lead-Auditor - PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

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