ISO-IEC-27001-Lead-Auditor Exam Dumps - PECB ISO 27001 Questions and Answers

The following four statements are true according to ISO/IEC 27001’s risk management requirements: 12

• The results of risk assessments must be maintained. This is true because clause 8.2.3 of ISO/IEC 27001:2022 requires the organisation to retain documented information of the information security risk assessment process and the results12
• ISO/IEC 27001 provides an outline approach for the management of risk. This is true because clause 6.1.2 of ISO/IEC 27001:2022 specifies the general steps for the information security risk management process, which include establishing the risk criteria, assessing the risks, treating the risks, and monitoring and reviewing the risks12
• The organisation must produce a risk treatment plan for every business risk identified. This is true because clause 6.1.3 of ISO/IEC 27001:2022 requires the organisation to produce a risk treatment plan that defines the actions to be taken to address the unacceptable risks, the responsibilities, the expected dates, and the resources required12
• Risk assessments should be undertaken following significant changes. This is true because clause 8.2.4 of ISO/IEC 27001:2022 requires the organisation to review and update the risk assessment at planned intervals or when significant changes occur12

The following four statements are false according to ISO/IEC 27001’s risk management requirements:

• Risk identification is used to determine the severity of an information security risk. This is false because risk identification is used to identify the assets, threats, vulnerabilities, and existing controls that are relevant to the information security risk management process. The severity of an information security risk is determined by the risk analysis, which evaluates the likelihood and impact of the risk scenarios12
• The organisation must operate a risk treatment process to eliminate its information security risks. This is false because the organisation can choose from four options to treat its information security risks: avoid, transfer, mitigate, or accept. The organisation does not have to eliminate all its information security risks, but only those that are unacceptable according to its risk criteria12
• The initial phase in an organisation’s risk management process should be information security risk assessment. This is false because the initial phase in an organisation’s risk management process should be establishing the risk management framework, which includes defining the risk management policy, objectives, scope, roles, responsibilities, and criteria. The information security risk assessment is the second phase in the risk management process12
• Risks assessments should be undertaken at monthly intervals. This is false because there is no fixed frequency for conducting risk assessments in ISO/IEC 27001. The organisation should determine the appropriate intervals for reviewing and updating the risk assessment based on its risk appetite, risk profile, and operational context12

References:

1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

The audit report is a confidential document that contains sensitive information about the auditee’s ISMS and its performance. The audit team has a duty to protect the confidentiality of the audit report and only disclose it to authorized parties, such as the audit client, the certification body, and the accreditation body. Therefore, the following responses are false:

• A: The audit team cannot decide to release the report to third parties without the consent of the audit client, as this would breach the confidentiality agreement and the audit code of conduct. The audit team should always inform the audit client before disclosing the report to any third party, and obtain their explicit, prior approval.
• F: Not every auditor employed by the auditing organization can access the audit report, as this would violate the principle of need-to-know. Only auditors who are involved in the audit process, such as the audit team leader, the audit team members, the audit programme manager, and the certification decision maker, can access the audit report. Other auditors who are not related to the audit have no legitimate reason to access the report, and should be prevented from doing so by appropriate security measures.
• G: The duty of confidentiality does not expire after a certain period of time, as this would compromise the trust and integrity of the audit process. The audit report remains confidential indefinitely, unless there is a legal or contractual obligation to disclose it, or the audit client agrees to release it. Third parties cannot access the audit report by making a subject access request, as this would infringe the privacy and data protection rights of the audit client and the auditee.
• H: Subcontracted auditors are not considered to be third parties regarding confidentiality, as they are part of the audit team and have a contractual relationship with the auditing organization. Subcontracted auditors are typically bound by the same confidentiality agreement and audit code of conduct as the employed auditors, and have the same rights and responsibilities to access and protect the audit report.

References: =

• ISO/IEC 27001:2022, clause 9.2, Internal audit
• ISO/IEC 27006:2015, clause 7.2.3, Confidentiality
• PECB Candidate Handbook ISO 27001 Lead Auditor, page 22, Audit Report
• PECB Candidate Handbook ISO 27001 Lead Auditor, page 24, Audit Code of Conduct

The role and responsibility that system users should not observe in the event of an information security incident is D: make the information security incident details known to all employees. This is not a proper role or responsibility for system users, as it could cause unnecessary panic, confusion or speculation among employees who are not involved in the incident response process. It could also compromise the confidentiality and integrity of the incident information, which could be sensitive or confidential in nature. Making the information security incident details known to all employees could also violate the information security policies and procedures of the organization, which may require a certain level of discretion and confidentiality when dealing with incidents. The other roles and responsibilities are correct, as they describe what system users should do in the event of an information security incident, such as reporting the incident to the Servicedesk (A), preserving evidence if necessary (B), and cooperating with investigative personnel if needed ©. These roles and responsibilities help to ensure a quick, effective and orderly response to information security incidents. ISO/IEC 27001:2022 requires the organization to implement procedures for reporting and managing information security incidents (see clause A.16.1). References: CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course, ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements, What is Information Security Incident Management?

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

The conclusion in the audit report that is not required by the certification body when deciding to grant certification is that the organisation fully complies with all legal and other requirements applicable to the ISMS. This is because the certification body does not have the authority or the responsibility to verify the legal compliance of the organisation, as this is outside the scope of ISO/IEC 27001:2022. The certification body only evaluates the conformity of the organisation’s ISMS with the requirements of the standard, which include the establishment of a process to identify and evaluate the legal and other requirements that are relevant to the ISMS. The organisation is responsible for ensuring its own legal compliance and for providing evidence of such compliance to the certification body if requested. References: = ISO/IEC 27001:2022, clause 6.1.3; ISO/IEC 27006:2022, clause 9.2.2.4; PECB Candidate Handbook ISO 27001 Lead Auditor, page 29.

 According to ISO/IEC 27001:2022 clause 6.1, the organization must establish, implement and maintain an information security risk management process that includes the following activities:

• establishing and maintaining information security risk criteria;
• ensuring that repeated information security risk assessments produce consistent, valid and comparable results;
• identifying the information security risks;
• analyzing the information security risks;
• evaluating the information security risks;
• treating the information security risks;
• accepting the information security risks and the residual information security risks;
• communicating and consulting with stakeholders throughout the process;
• monitoring and reviewing the information security risks and the risk treatment plan.

According to control A.5.29, the organization must establish, document, implement and maintain processes, procedures and controls to ensure the required level of continuity for information security during a disruptive situation. The organization must also:

• determine its requirements for information security and the continuity of information security management in adverse situations, e.g. during a crisis or disaster;
• establish, document, implement and maintain processes, procedures and controls to ensure the required level of continuity for information security during an adverse situation;
• verify the availability of information processing facilities.

Therefore, the following options will not be in your audit trail, as they are not relevant to the information security risk management process or the information security continuity process:

• E. Collect more evidence on how the organisation makes sure all staff periodically conduct a positive Covid test (Relevant to control A.7.2). This is not relevant to the information security aspects of business continuity management, as it is related to the health and safety of the staff, not the protection of information assets. Control A.7.2 is about screening of personnel prior to employment, not during employment.
• G. Collect more evidence on how the organisation performs a business risk assessment to evaluate how fast the existing residents can be discharged from the nursing home. (Relevant to clause 6). This is not relevant to the information security aspects of business continuity management, as it is related to the operational and financial aspects of the business, not the identification and treatment of information security risks. Clause 6 is about the information security risk management process, not the business risk management process.
• H. Collect more evidence on what resources the organisation provides to support the staff working from home. (Relevant to clause 7.1). This is not relevant to the information security aspects of business continuity management, as it is related to the general provision of resources for the ISMS, not the specific processes, procedures and controls to ensure the continuity of information security during a disruptive situation. Clause 7.1 is about determining and providing the resources needed for the establishment, implementation, maintenance and continual improvement of the ISMS, not the resources needed for the staff working from home.

References:

• ISO/IEC 27001:2022, clauses 6.1, 7.1, and Annex A control A.5.29
• [PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 14-15, 17, 22-23
• ISO 27001:2022 Annex A Control 5.29 - What’s New?
• ISO 22301 Business Continuity Management System

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.

References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements

Detection risk refers to the risk that the auditor will not detect a material misstatement or significant issue within the organization's ISMS. In this case, the auditor's inability to identify Company A's insecure network architecture is a detection risk.

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

A first-party audit is an internal audit in which the organization’s own staff or contractors check the conformity and effectiveness of the ISMS. A certification body auditor and an audit team from an accreditation body are external auditors who conduct audits for the purpose of certification or accreditation. They do not participate in a first-party audit, but rather in a third-party audit. References: First & Second Party Audits - operational services, The ISO 27001 Audit Process | Blog | OneTrust, The ISO 27001 Audit Process | A Beginner’s Guide - IAS USA

The audit team leader suggesting a specific solution on resolving the nonconformities is unacceptable in an external audit. This could compromise the impartiality of the audit process by appearing to assist the auditee in corrective actions, which should independently originate from the auditee to ensure the integrity and effectiveness of the ISMS.