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

The audit team’s approach is in line with recommended auditing practices, making option A the correct answer. ISO management system audits, including ISO/IEC 27001 audits, are designed to provide reasonable assurance, not absolute assurance, that the management system conforms to the standard requirements. This principle is explicitly supported by ISO 19011 and ISO/IEC 17021-1.

In the scenario, the audit team assessed conformity by reviewing key processes, questioning responsible personnel, examining representative evidence, and evaluating control effectiveness. Although access to IT systems was limited, the auditors compensated by gathering sufficient and appropriate evidence through alternative means. This approach reflects the reality of auditing complex environments, particularly those involving third-party service providers.

Option B is incorrect because ISO standards do not require auditors to assess every process in full detail. Audits are sample-based by design. Expecting a complete, exhaustive assessment of each process would be impractical and inconsistent with audit principles. Option C is incorrect because assessing the ISMS as a whole is not merely an efficiency-driven decision; it is an accepted and intentional audit approach aimed at evaluating system-level effectiveness.

Therefore, obtaining reasonable assurance through a structured, evidence-based approach confirms that the audit team acted in accordance with recommended audit practices.

Comprehensive and Detailed In-Depth Explanation:

The CIA Triad (Confidentiality, Integrity, and Availability) is the foundation of information security principles.

Availability ensures that data and services are accessible when needed. By implementing regular, automated backups and offsite storage, the organization ensures that critical data remains accessible even after a security incident (e.g., data loss, cyberattacks, or hardware failures). This aligns with ISO/IEC 27001:2022 Annex A Control A.8.13 (Information Backup), which emphasizes maintaining and testing backups to ensure system resilience.

Integrity ensures that data remains unaltered and accurate, but backups do not inherently enforce integrity unless accompanied by checksum or validation mechanisms.

Confidentiality ensures that only authorized users can access data, which is not the primary goal of a backup procedure.

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 5.2 requires top management to establish an information security policy that provides the framework for setting information security objectives1. Clause 6.2 requires top management to ensure that the information security objectives are established at relevant functions and levels1. Therefore, when verifying that the information security policy and objectives have been established by top management, an ISMS auditor should review relevant documents and records that demonstrate top management’s involvement and commitment.

To verify that the mobile device policy and objectives are implemented and effective, an ISMS auditor should review relevant documents and records that demonstrate how the policy and objectives are communicated, monitored, measured, analyzed, and evaluated. The auditor should also sample and verify the implementation of the controls that are stated in the policy.

Three options for the audit trail that are relevant to verifying the mobile device policy and objectives are:

Review the internal audit report to make sure the IT department has been audited: This option is relevant because it can provide evidence of how the IT department, which is responsible for managing the mobile devices and their security, has been evaluated for its conformity and effectiveness in implementing the mobile device policy and objectives. The internal audit report can also reveal any nonconformities, corrective actions, or opportunities for improvement related to the mobile device policy and objectives.

Sampling some mobile devices from on-duty medical staff and validate the mobile device information with the asset register: This option is relevant because it can provide evidence of how the mobile devices that are used by the medical staff, who are involved in processing and storing residents’ data, are registered in the asset register and have physical protection enabled. This can verify the implementation and effectiveness of two of the controls that are stated in the mobile device policy.

Review the asset register to make sure all company’s mobile devices are registered: This option is relevant because it can provide evidence of how the company’s mobile devices that are within the ISMS scope are identified and accounted for. This can verify the implementation and effectiveness of one of the controls that are stated in the mobile device policy.

The other options for the audit trail are not relevant to verifying the mobile device policy and objectives, as they are not related to the policy or objectives or their implementation or effectiveness. For example:

Interview the reception personnel to make sure all visitor and employee bags are checked before entering the nursing home: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding physical security or access control, but not specifically to mobile devices.

Review visitors’ register book to make sure no visitor can have their personal mobile phone in the nursing home: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding information security awareness or compliance, but not specifically to mobile devices.

Interview the supplier of the devices to make sure they are aware of the ISMS policy: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding information security within supplier relationships, but not specifically to mobile devices.

Interview top management to verify their involvement in establishing the information security policy and the information security objectives: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to verifying that the information security policy and objectives have been established by top management, but not specifically to mobile devices.

CloudFort’s certification was suspended because it effectively operated beyond its approved certification scope without ensuring that the scope extension was formally assessed and approved, making option A the correct answer. Under ISO/IEC 17021-1, certification applies strictly to the defined and approved scope. Any significant organizational change that affects the ISMS, such as creating a new department with different processes and governance impacts, must be communicated promptly and assessed by the certification body before being considered part of the certified scope.

In this scenario, CloudFort did request a scope extension, which is the correct initial action. However, it failed to provide timely and sufficient updates regarding the impact of the new department on the ISMS. As a result, the certification body could not verify whether the extended scope continued to conform to ISO/IEC 27001 requirements. Operating new activities under the assumption of certification before formal approval constitutes misuse of certification, which justifies suspension.

Option B is incorrect because outsourcing internal audits is explicitly permitted by ISO/IEC 27001, provided independence and competence are ensured. Option C is incorrect because the audit team confirmed that the certified ISMS still fulfilled standard requirements; the issue was scope governance, not ISMS failure.

Therefore, the suspension resulted from scope control and certification governance failures, not from nonconformity with the standard itself.

Signing the certification agreement, which should clearly outline the audit objectives, scope, and responsibilities, would help prevent misunderstandings between the certification body and Data Grid Inc. A well-defined agreement ensures both parties have a clear understanding of what the audit will entail and what outputs are expected.

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

A single legally enforceable agreement must cover all sites included in the certification scope to ensure:

Consistency in audit approach

Legal clarity between all parties

Global applicability for multinational companies

A. Incorrect:

Separate agreements for each office would create inconsistencies and legal complexities.

C. Incorrect:

All sites involved in certification must be covered by the agreement, not just the main office.

Relevant Standard Reference:

ISO/IEC 17021-1:2015 Clause 8.2.1 (Legally Enforceable Agreements for Certification)

The four controls from the list that the auditor in training should review are:

•A. Confidentiality and nondisclosure agreements: This control requires the organisation to ensure that all employees, contractors, and third parties who have access to sensitive information sign appropriate agreements that oblige them to protect the confidentiality and integrity of such information. This is especially important for an organisation that stores data on behalf of external clients, as it demonstrates its commitment to safeguarding their information assets and complying with their contractual obligations.

•C. Information security awareness, education and training: This control requires the organisation to provide regular and relevant information security awareness, education and training to all employees, contractors, and third parties who have access to the organisation’s information systems and information assets. This is essential for ensuring that they are aware of their roles and responsibilities, the information security policies and procedures, the potential threats and risks, and the best practices for preventing and responding to information security incidents.

•D. Remote working arrangements: This control requires the organisation to establish and implement policies and procedures for managing the information security risks associated with remote working arrangements, such as teleworking, mobile working, or working from home. This includes defining the conditions and requirements for remote working, such as the authorised devices, applications, and networks, the encryption and authentication methods, the backup and recovery procedures, and the reporting and monitoring mechanisms. This is important for an organisation that stores data on behalf of external clients, as it ensures that the information security level is maintained regardless of the location of the workers and the devices they use.

•E. The conducting of verification checks on personnel: This control requires the organisation to conduct appropriate verification checks on the background, qualifications, and references of all employees, contractors, and third parties who have access to the organisation’s information systems and information assets. This is necessary for verifying their identity, suitability, and trustworthiness, and for preventing the hiring of unauthorised or malicious individuals who could compromise the information security of the organisation and its clients.

The non-conformity you have identified relates to the organization's failure to implement adequate operational controls to ensure that service and regulatory requirements for data protection are met. This situation is particularly critical given the nature of the items being shipped, which include sensitive medical information and government documents. The fact that 15% of returned parcels have labels for different addresses, potentially exposing sensitive information to incorrect recipients, underscores the lack of effective information security practices.

The best description of the non-conformity, based on the details provided and the requirements of ISO/IEC 27001:2022, particularly clause 8.1 which deals with operational planning and control, would be:

C. The organisation does not have an effective process in place that ensures service requirements and regulatory requirements for data protection are met. Records show that 15% of returned parcels have disclosed information intended for another party to the recipient (which may include sensitive medical information or government department communications) without adequate operational controls to meet information security requirements.

This option accurately captures the essence of the non-conformity by highlighting the lack of effective operational controls to protect sensitive information, leading to potential unauthorized disclosure of information intended for another party. This is a direct violation of information security management principles, particularly those related to the protection of confidentiality and integrity of information as mandated by ISO/IEC 27001:2022.