[Mar-2025] ISO-IEC-27001-Lead-Auditor Exam Questions and Valid ISO-IEC-27001-Lead-Auditor Dumps PDF

ISO-IEC-27001-Lead-Auditor Brain Dump: A Study Guide with Tips & Tricks for passing Exam

Preparing for the PECB ISO-IEC-27001-Lead-Auditor Certification Exam requires a combination of theoretical knowledge and practical experience. Candidates can prepare for the exam by attending a PECB-certified ISO/IEC 27001 Lead Auditor training course or an equivalent, studying the relevant materials, and gaining practical experience in auditing ISMSs based on the ISO/IEC 27001 standard. They can also use practice exams to assess their knowledge and identify areas where they need to improve.

PECB ISO-IEC-27001-Lead-Auditor exam is designed to test the knowledge and skills of individuals who work in the information security field. ISO-IEC-27001-Lead-Auditor exam is intended for those who want to become certified lead auditors in the ISO/IEC 27001 standard, which is the international standard for information security management. ISO-IEC-27001-Lead-Auditor exam is conducted by the Professional Evaluation and Certification Board (PECB), a leading global provider of training, certification, and auditing services in the field of information security.

 

NEW QUESTION # 17
You are an experienced ISMS audit team leader who is currently conducting a third party initial certification audit of a new client, using ISO/IEC 27001:2022 as your criteria.
It is the afternoon of the second day of a 2-day audit, and you are just about to start writing your audit report.
So far no nonconformities have been identified and you and your team have been impressed with both the site and the organisation's ISMS.
At this point, a member of your team approaches you and tells you that she has been unable to complete her assessment of leadership and commitment as she has spent too long reviewing the planning of changes.
Which one of the following actions will you take in response to this information?

• A. Review the audit plan and client availabilities to determine whether there is any opportunity for another member of your team to pick up this task before the closing meeting.
• B. Given there have been no nonconformities identified and the overall impression of the organisation has been a good one, record a positive recommendation for certification in the audit report.
• C. Advise the auditee and audit client that it is not possible to make a positive recommendation at this point.
• D. Contact the individual managing the audit programme and seek their permission to record a positive recommendation in the audit report.
• E. Contact your head office and await their further instructions of how to proceed.
• F. Suggest to the client that if they are prepared to upgrade your return flight to first class you will audit leadership and commitment in your own time tomorrow.
• G. Advise the auditee that the certification audit will need to be terminated and rescheduled.
• H. Apologise to the client and tell them you will return at a later date to review leadership and commitment.

Answer: C

Explanation:
Leadership and commitment is a key requirement of ISO/IEC 27001:2022, as it establishes the top management's role and responsibility in establishing, implementing, maintaining, and continually improving the ISMS. Without assessing this aspect, the audit team cannot conclude that the ISMS is effective and conforms to the standard. Therefore, the audit team leader should advise the auditee and audit client that it is not possible to make a positive recommendation at this point, and explain the reason and the implications. The audit team leader should also consult with the certification body and the audit programme manager on the next steps, such as extending the audit duration, conducting a follow-up audit, or issuing a conditional certification, depending on the certification body's policy and the audit client's agreement. References: =
* ISO/IEC 27001:2022, clause 5, Leadership
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 19, Audit Process
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 22, Audit Report
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 23, Audit Conclusion and Recommendation

NEW QUESTION # 18
Which two of the following phrases are 'objectives' in relation to a first-party audit?

• A. Prepare the audit report for the certification body
• B. Complete the audit on time
• C. Apply international standards
• D. Update the management policy
• E. Apply Regulatory requirements
• F. Confirm the scope of the management system is accurate

Answer: D,F

Explanation:
Explanation
A first-party audit is an internal audit conducted by the organization itself or by an external party on its behalf. The objectives of a first-party audit are to: 12
* Confirm the scope of the management system is accurate, i.e., it covers all the processes, activities, locations, and functions that are relevant to the information security objectives and requirements of the organization.
* Update the management policy, i.e., review and revise the policy statement, roles and responsibilities, and objectives and targets of the information security management system (ISMS) based on the audit findings and feedback.
The other phrases are not objectives of a first-party audit, but rather:
* Apply international standards: This is a requirement for the ISMS, not an objective of the audit. The ISMS must conform to the ISO/IEC 27001 standard and any other applicable standards or regulations12
* Prepare the audit report for the certification body: This is an activity of a third-party audit, not a first-party audit. A third-party audit is an external audit conducted by an independent certification body to verify the conformity and effectiveness of the ISMS and to issue a certificate of compliance12
* Complete the audit on time: This is a performance indicator, not an objective of the audit. The audit
* should be completed within the planned time frame and budget, but this is not the primary purpose of the audit12
* Apply regulatory requirements: This is also a requirement for the ISMS, not an objective of the audit. The ISMS must comply with the legal and contractual obligations of the organization regarding information security12 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

NEW QUESTION # 19
The following are the guidelines to protect your password, except:

• A. Do not share passwords with anyone
• B. Change a temporary password on first log-on
• C. For easy recall, use the same password for company and personal accounts
• D. Don't use the same password for various company system security access

Answer: A,C

Explanation:
The following are guidelines to protect your password, except for easy recall use the same password for company and personal accounts; do not share passwords with anyone. Using the same password for company and personal accounts is not a guideline to protect your password, as it increases the risk of compromising your password if one of your accounts is hacked or breached. You should use different and unique passwords for each account, and change them regularly. Sharing passwords with anyone is not a guideline to protect your password, as it reduces the security and accountability of your password. You should keep your password confidential and never disclose it to anyone, even if they claim to be authorized or trustworthy. Don't use the same password for various company system security access is a guideline to protect your password, as it prevents unauthorized access or misuse of your password if one of the systems is compromised or breached. You should use different and complex passwords for each system, and follow the password policies and standards of the organization. Change a temporary password on first log-on is a guideline to protect your password, as it prevents unauthorized access or misuse of your password if the temporary password is intercepted or leaked. You should change the temporary password to a personal and secure password as soon as possible, and avoid using default or predictable passwords. Reference: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 43. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.

NEW QUESTION # 20
Which situation presented below represents a threat?

• A. HackX uses and distributes pirated software
• B. The information security training was provided to only the IT team members of the organization
• C. Hackers compromised the administrator's account by cracking the password

Answer: C

Explanation:
A threat in information security is any circumstance or event with the potential to cause harm to an information system through unauthorized access, destruction, disclosure, modification of data, and/or denial of service. The situation where hackers compromise an administrator's account by cracking the password represents a direct threat to the security of the information system. References: = This explanation is based on general information security principles and the typical content covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs. It aligns with the knowledge expected of a professional with an ISO/IEC
27001 Lead Auditor certification

NEW QUESTION # 21
Select the option which best describes how Information Security Management System audits should be conducted:

• A. Audit methods should be used to assess objective evidence in order to generate audit findings. Then, the audit conclusion should be created and presented to the auditee at the closing meeting.
• B. Audit objectives should be used to assess audit evidence in order to generate audit conclusions. Then, the audit findings should be created and presented to the audit client at the closing meeting.
• C. Audit criteria should be used to assess objective evidence in order to generate audit outcomes. Then, the audit report should be created and presented to the audit team leader at the closing meeting.
• D. Audit objectives should be used to assess objective evidence in order to generate audit conclusions.
  Then, the audit recommendations should be created and presented to top management at management review.
• E. Audit methods should be used to assess audit evidence in order to generate audit recommendations.
  Then, the audit recommendations should be created and presented to the auditee at the closing meeting.
• F. Audit criteria should be used to assess circumstantial evidence in order to generate audit outcomes.
  Then, the audit report should be created and presented to the audit team at the audit team meeting.

Answer: A

Explanation:
The option that best describes how Information Security Management System (ISMS) audits should be conducted, aligning with best practices and standards like ISO/IEC 27001:2022, is:
D: Audit methods should be used to assess objective evidence in order to generate audit findings. Then, the audit conclusion should be created and presented to the auditee at the closing meeting.
This option accurately reflects the audit process, emphasizing the use of systematic audit methods to assess objective evidence, which is crucial for impartiality and accuracy in auditing. Audit findings are the results derived from evaluating the objective evidence against the audit criteria. The conclusion, based on the audit findings, provides a comprehensive summary of the audit's outcomes, indicating whether the audited ISMS meets the established criteria. Presenting these conclusions to the auditee during the closing meeting ensures transparency and provides an opportunity for immediate clarification and discussion of the results and potential next steps.

NEW QUESTION # 22
You are an experienced ISMS audit team leader. You are providing an introduction to ISO/IEC 27001:2022 to a class of Quality Management System Auditors who are seeking to retrain to enable them to carry out information security management system audits.
You ask them which of the following characteristics of information does an information security management system seek to preserve?
Which three answers should they provide?

• A. Clarity
• B. Efficiency
• C. Accessibility
• D. Completeness
• E. Importance
• F. Integrity
• G. Availability
• H. Confidentiality

Answer: F,G,H

Explanation:
These three characteristics are the fundamental properties of information security, as defined by the ISO/IEC
27000 standard, which provides the overview and vocabulary of information security, cybersecurity, and privacy protection12. They are also the basis for the information security objectives and controls of the ISO/IEC 27001 standard, which specifies the requirements for establishing, implementing, maintaining, and continually improving an information security management system34. The definitions of these characteristics are as follows12:
*Availability: The property of being accessible and usable upon demand by an authorized entity.
*Confidentiality: The property that information is not made available or disclosed to unauthorized individuals, entities, or processes.
*Integrity: The property of safeguarding the accuracy and completeness of information and processing methods.
The other characteristics listed in the question, such as clarity, accessibility, completeness, importance, and efficiency, are not directly related to information security, although they may be relevant for other aspects of information management, such as quality, usability, or performance.
References: = 1: ISO/IEC 27000:2022 Information technology - Security techniques - Information security, cybersecurity and privacy protection - Overview and vocabulary, clause 32: ISO/IEC 27000:2022 (en), Information security, cybersecurity and privacy protection - Overview and vocabulary13: ISO/IEC
27001:2022 Information technology - Security techniques - Information security management systems - Requirements, clause 6.24: ISO/IEC 27001:2022 (en), Information security, cybersecurity and privacy protection - Information security management systems - Requirements1

NEW QUESTION # 23
Scenario 4: SendPay is a financial company that provides its services through a network of agents and financial institutions. One of their main services is transferring money worldwide. SendPay, as a new company, seeks to offer top quality services to its clients. Since the company offers international transactions, it requires from their clients to provide personal information, such as their identity, the reason for the transactions, and other details that might be needed to complete the transaction. Therefore, SendPay has implemented security measures to protect their clients' information, including detecting, investigating, and responding to any information security threats that may emerge. Their commitment to offering secure services was also reflected during the ISMS implementation where the company invested a lot of time and resources.
Last year, SendPay unveiled their digital platform that allows money transactions through electronic devices, such as smartphones or laptops, without requiring an additional fee. Through this platform, SendPay's clients can send and receive money from anywhere and at any time. The digital platform helped SendPay to simplify the company's operations and further expand its business. At the time, SendPay was outsourcing its software operations, hence the project was completed by the software development team of the outsourced company.
The same team was also responsible for maintaining the technology infrastructure of SendPay.
Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year. They contracted a certification body that fit their criteria. Soon after, the certification body appointed a team of four auditors to audit SendPay's ISMS.
During the audit, among others, the following situations were observed:
1.The outsourced software company had terminated the contract with SendPay without prior notice. As a result, SendPay was unable to immediately bring the services back in-house and its operations were disrupted for five days. The auditors requested from SendPay's representatives to provide evidence that they have a plan to follow in cases of contract terminations. The representatives did not provide any documentary evidence but during an interview, they told the auditors that the top management of SendPay had identified two other software development companies that could provide services immediately if similar situations happen again.
2.There was no evidence available regarding the monitoring of the activities that were outsourced to the software development company. Once again, the representatives of SendPay told the auditors that they regularly communicate with the software development company and that they are appropriately informed for any possible change that might occur.
3.There was no nonconformity found during the firewall testing. The auditors tested the firewall configuration in order to determine the level of security provided by these services. They used a packet analyzer to test the firewall policies which enabled them to check the packets sent or received in real-time.
Based on this scenario, answer the following question:
Regarding the third situation observed, auditors themselves tested the configuration of firewalls implemented in SendPay's network. How do you describe this situation? Refer to scenario 4.

• A. Unacceptable, firewall configurations should not be tested during an audit since this can have an impact systems' operation
• B. Acceptable, technical evidence is required to validate the operation of technical processes
• C. Unacceptable, the auditors should only observe the testing of system or equipment configurations and not test the system themselves

Answer: B

Explanation:
It is acceptable and often necessary for auditors to test technical controls such as firewalls to validate the operation and effectiveness of these processes during an ISMS audit. This hands-on testing provides concrete, technical evidence of the security measures' performance.
References: ISO/IEC 27001:2013 Standard, Clause A.13 (Communications security), ISO 19011:2018, Guidelines for auditing management systems

NEW QUESTION # 24
Information or data that are classified as ______ do not require labeling.

• A. Internal
• B. Confidential
• C. Highly Confidential
• D. Public

Answer: D

Explanation:
Information or data that are classified as public do not require labeling. Public information or data are those that are intended for general disclosure and have no impact on the organization's operations or reputation if disclosed. Labeling is a method of implementing classification, which is a process of structuring information according to its sensitivity and value for the organization. Labeling helps to identify the level of protection and handling required for each type of information. Information or data that are classified as internal, confidential, or highly confidential require labeling, as they contain information that is not suitable for public disclosure and may cause harm or loss to the organization if disclosed. References: : CQI & IRCA ISO 27001:
2022 Lead Auditor Course Handbook, page 34. : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 37. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 14.

NEW QUESTION # 25
Which two of the following options for information are not required for audit planning of a certification audit?

• A. An organisation's financial statement
• B. A document review
• C. A sampling plan
• D. The working experience of the management system representative
• E. An audit checklist
• F. An audit plan

Answer: A,D

Explanation:
Explanation
These two options are not required for audit planning of a certification audit, as they are not relevant to the audit objectives, scope, criteria, and methods. The working experience of the management system representative is not a requirement of ISO/IEC 27001, nor does it affect the conformity or effectiveness of the ISMS. The organisation's financial statement is not part of the ISMS documentation, nor does it provide evidence of the ISMS performance or improvement. The other options are required for audit planning, as they help to determine the audit activities, resources, schedule, and sampling strategy. References: PECB Candidate Handbook1, page 19-20; ISO 9001 Auditing Practices Group Guidance on2, page 1-2; ISO/IEC 27001:2022 (en)3, clause 9.2.

NEW QUESTION # 26
Which two of the following phrases are 'objectives' in relation to a first-party audit?

• A. Prepare the audit report for the certification body
• B. Complete the audit on time
• C. Apply international standards
• D. Update the management policy
• E. Apply Regulatory requirements
• F. Confirm the scope of the management system is accurate

Answer: D,F

NEW QUESTION # 27
What is a reason for the classification of information?

• A. Creating a manual describing the BYOD policy
• B. To provide clear identification tags
• C. To structure the information according to its sensitivity

Answer: C

Explanation:
Explanation
The reason for the classification of information is to structure the information according to its sensitivity.
Information classification is a process of assigning categories or labels to information based on its value, sensitivity, criticality and legal requirements. Information classification helps to determine the appropriate level of security controls and handling procedures for different types of information. Information classification also facilitates the communication of information security requirements and expectations among internal and external parties. ISO/IEC 27001:2022 requires the organization to classify information in terms of legal requirements, value, criticality and sensitivity to unauthorized disclosure or modification (see clause A.8.2.1).
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 Data Classification?

NEW QUESTION # 28
Why do we need to test a disaster recovery plan regularly, and keep it up to date?

• A. Otherwise the measures taken and the incident procedures planned may not be adequate
• B. Otherwise remotely stored backups may no longer be available to the security team
• C. Otherwise it is no longer up to date with the registration of daily occurring faults

Answer: A

Explanation:
Explanation
Testing a disaster recovery plan regularly and keeping it up to date is essential to ensure that the measures taken and the incident procedures planned are adequate and effective in the event of a disaster6. A disaster recovery plan is a documented set of actions and arrangements to enable an organization to respond to a disaster affecting its information assets and resume its critical activities within a defined time frame7.
However, a disaster recovery plan may become obsolete or ineffective due to changes in the organization's environment, operations, risks, or resources. Therefore, testing the plan periodically and updating it accordingly is necessary to verify its validity, feasibility, completeness, and accuracy6. References: ISO/IEC
27031:2011, clauses 7.4 and 8.3; ISO/IEC 27000:2022, clause 3.11.

NEW QUESTION # 29
In what part of the process to grant access to a system does the user present a token?

• A. Authentication
• B. Identification
• C. Authorisation
• D. Verification

Answer: B

Explanation:
In what part of the process to grant access to a system does the user present a token? The user presents a token in the identification part of the process. Identification is the process of claiming an identity or presenting an identifier to a system. An identifier is a unique name or label that represents a person or entity. A token is a physical device or object that contains or generates an identifier, such as a smart card, a key fob, or a QR code. Identification is used to initiate the access request and associate it with an identity. Identification is followed by authentication, which verifies the identity claim, and authorization, which determines the level of access granted. ISO/IEC 27001:2022 defines identification as "recognition of an entity by an identifier in a particular context" (see clause 3.29). Reference: [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 Identification?]

NEW QUESTION # 30
CEO sends a mail giving his views on the status of the company and the company's future strategy and the CEO's vision and the employee's part in it. The mail should be classified as

• A. Restricted Mail
• B. Confidential Mail
• C. Public Mail
• D. Internal Mail

Answer: D

Explanation:
The mail sent by the CEO giving his views on the status of the company and the company's future strategy and the CEO's vision and the employee's part in it should be classified as internal mail. Internal mail is a type of classification that indicates that the information is intended for internal use only, and should not be disclosed to external parties without authorization. The mail sent by the CEO contains information that is relevant and important for the employees of the company, but may not be suitable for public disclosure, as it may contain sensitive or confidential information about the company's performance, goals, or plans. Reference: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 34. : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 37. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 14.

NEW QUESTION # 31
Which three of the following work documents are not required for audit planning by an auditor conducting a certification audit?

• A. A sample plan
• B. A checklist
• C. An organisation's financial statement
• D. A career history of the IT manager
• E. A list of external providers
• F. An audit plan

Answer: C,D,E

Explanation:
Explanation
According to ISO 19011:2018, which provides guidelines for auditing management systems, an auditor conducting a certification audit should prepare for an audit by reviewing relevant information about the auditee's context and processes1. This may include reviewing documented information related to the audited management system (such as policies, procedures, manuals), previous audit reports and records (such as findings, nonconformities, corrective actions), relevant legal and regulatory requirements (such as laws, standards), relevant risks and opportunities (such as internal and external issues), relevant performance indicators (such as objectives, targets), etc1. Therefore, an auditor may need work documents such as an audit plan (which defines what will be done during an audit), a sample plan (which defines how many samples will be taken from a population), and a checklist (which helps to ensure that all relevant aspects are covered during an audit)1. However, an auditor does not need work documents such as an organisation's financial statement (which is not directly related to information security management), a career history of the IT manager (which is not relevant to assessing conformity with ISO/IEC 27001:2022), or a list of external providers (which is not necessary for planning an audit)1. References: ISO 19011:2018 - Guidelines for auditing management systems

NEW QUESTION # 32
The following are purposes of Information Security, except:

• A. Maximize Return on Investment
• B. Increase Business Assets
• C. Ensure Business Continuity
• D. Minimize Business Risk

Answer: B

Explanation:
The following are purposes of information security, except increasing business assets. Increasing business assets is not a purpose of information security, as it is not directly related to protecting information and systems from threats and risks. Information security may contribute to increasing business assets by enhancing customer trust, reputation, compliance, and efficiency, but it is not its primary goal. Ensuring business continuity is a purpose of information security, as it aims to prevent or minimize disruptions or losses caused by incidents affecting information and systems. Minimizing business risk is a purpose of information security, as it aims to identify and reduce threats and vulnerabilities that may compromise information and systems. Maximizing return on investment is a purpose of information security, as it aims to optimize the costs and benefits of implementing and maintaining information security controls and measures. Reference: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 23. : [ISO/IEC 27001 Brochures | PECB], page 4.

NEW QUESTION # 33
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.
You are currently in a large room that is subdivided into several smaller rooms, each of which has a numeric combination lock and swipe card reader on the door. You notice two external contractors using a swipe card and combination number provided by the centre's reception desk to gain access to a client's suite to carry out authorised electrical repairs.
You go to reception and ask to see the door access record for the client's suite. This indicates only one card was swiped. You ask the receptionist and they reply, "yes it's a common problem. We ask everyone to swipe their cards but with contractors especially, one tends to swipe and the rest simply 'tailgate' their way in" but we know who they are from the reception sign-in.
Based on the scenario above which one of the following actions would you now take?

• A. Raise a nonconformity against control A.7.2 'physical entry' as a secure area is not adequately protected
• B. Raise a nonconformity against control A.7.6 'working in secure areas' as security measures for working in secure areas have not been defined
• C. Tell the organisation they must write to their contractors, reminding them of the need to use access cards appropriately
• D. Raise a nonconformity against control A.5.20 'addressing information security in supplier relationships' as information security requirements have not been agreed upon with the supplier
• E. Take no action. Irrespective of any recommendations, contractors will always act in this way
• F. Raise an opportunity for improvement to have a large sign in reception reminding everyone requiring access must use their swipe card at all times
• G. Determine whether any additional effective arrangements are in place to verify individual access to secure areas e.g. CCTV
• H. Raise an opportunity for improvement that contractors must be accompanied at all times when accessing secure facilities

Answer: A

Explanation:
According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), control A.7.2 requires an organization to implement appropriate physical entry controls to prevent unauthorized access to secure areas1. The organization should define and document the criteria for granting and revoking access rights to secure areas, and should monitor and record the use of such access rights1. Therefore, when auditing the organization's application of control A.7.2, an ISMS auditor should verify that these aspects are met in accordance with the audit criteria.
Based on the scenario above, the auditor should raise a nonconformity against control A.7.2, as the secure area is not adequately protected from unauthorized access. The auditor should provide the following evidence and justification for the nonconformity:
* Evidence: The auditor observed two external contractors using a swipe card and combination number provided by the centre's reception desk to gain access to a client's suite to carry out authorized electrical repairs. The auditor checked the door access record for the client's suite and found that only one card was swiped. The auditor asked the receptionist and was told that it was a common problem that contractors tend to swipe one card and tailgate their way in, but they were known from the reception sign-in.
* Justification: This evidence indicates that the organization has not implemented appropriate physical entry controls to prevent unauthorized access to secure areas, as required by control A.7.2. The organization has not defined and documented the criteria for granting and revoking access rights to secure areas, as there is no verification or authorization process for providing swipe cards and combination numbers to external contractors. The organization has not monitored and recorded the use of access rights to secure areas, as there is no mechanism to ensure that each individual swipes their card and enters their combination number before entering a secure area. The organization has relied on the reception sign-in as a means of identification, which is not sufficient or reliable for ensuring information security.
The other options are not valid actions for auditing control A.7.2, as they are not related to the control or its requirements, or they are not appropriate or effective for addressing the nonconformity. For example:
* Take no action: This option is not valid because it implies that the auditor ignores or accepts the nonconformity, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines for auditing management systems.
* Raise a nonconformity against control A.5.20 'addressing information security in supplier relationships' as information security requirements have not been agreed upon with the supplier: This option is not valid because it does not address the root cause of the nonconformity, which is related to physical entry controls, not supplier relationships. Control A.5.20 requires an organization to agree on information security requirements with suppliers that may access, process, store, communicate or provide IT infrastructure components for its information assets1. While this control may be relevant for ensuring information security in supplier relationships, it does not address the issue of unauthorized access to secure areas by external contractors.
* Raise a nonconformity against control A.7.6 'working in secure areas' as security measures for working in secure areas have not been defined: This option is not valid because it does not address the root cause of the nonconformity, which is related to physical entry controls, not working in secure areas. Control A.7.6 requires an organization to define and apply security measures for working in secure areas1.
While this control may be relevant for ensuring information security when working in secure areas, it does not address the issue of unauthorized access to secure areas by external contractors.
* Determine whether any additional effective arrangements are in place to verify individual access to secure areas e.g. CCTV: This option is not valid because it does not address or resolve the nonconformity, but rather attempts to find alternative or compensating controls that may mitigate its impact or likelihood. While additional arrangements such as CCTV may be useful for verifying individual access to secure areas, they do not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
* Raise an opportunity for improvement that contractors must be accompanied at all times when accessing secure facilities: This option is not valid because it does not address or resolve the nonconformity, but rather suggests a possible improvement action that may prevent or reduce its recurrence or severity.
* While accompanying contractors at all times when accessing secure facilities may be a good practice for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
* Raise an opportunity for improvement to have a large sign in reception reminding everyone requiring access must use their swipe card at all times: This option is not valid because it does not address or resolve the nonconformity, but rather suggests a possible improvement action that may increase awareness or compliance with the existing controls. While having a large sign in reception reminding everyone requiring access must use their swipe card at all times may be a helpful reminder for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
* Tell the organisation they must write to their contractors, reminding them of the need to use access cards appropriately: This option is not valid because it does not address or resolve the nonconformity, but rather instructs the organization to take a corrective action that may not be effective or sufficient for ensuring information security. While writing to contractors, reminding them of the need to use access cards appropriately may be a communication measure for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
References: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, ISO 19011:2018 - Guidelines for auditing management systems

NEW QUESTION # 34
Which two of the following statements are true?

• A. The audit programme describes the arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose.
• B. Once agreed, the audit plan is fixed and cannot be changed during the conducting of the audi.
• C. The audit programme describes the activities and arrangements for an audit.
• D. The audit plan describes the arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose.
• E. Responsibility for managing the audit programme rests with the audit team leader.
• F. The audit plan describes the activities and arrangements for an audit.

Answer: D,F

Explanation:
The two true statements are B and E. According to ISO 19011:2022, the audit plan describes the arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose1, while the audit programme describes the activities and arrangements for an audit2. The other options are either false or irrelevant. The responsibility for managing the audit programme rests with the audit programme manager, not the audit team leader (A)3. The audit plan can be changed during the conducting of the audit if necessary, with the agreement of the audit client and the auditee 4. The audit programme and the audit plan are not the same thing, so D and F are incorrect. References: 1: ISO 19011:2022, Guidelines for auditing management systems, Clause 3.8 \n2: ISO 19011:2022, Guidelines for auditing management systems, Clause
3.9 \n3: ISO 19011:2022, Guidelines for auditing management systems, Clause 5.3.1 \n4: ISO 19011:2022, Guidelines for auditing management systems, Clause 6.4.2

NEW QUESTION # 35
You are performing an ISMS audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to verify the information security incident management process. The IT Security Manager presents the information security incident management procedure and explains that the process is based on ISO/IEC 27035-1:2016.
You review the document and notice a statement "any information security weakness, event, and incident should be reported to the Point of Contact (PoC) within 1 hour after identification". When interviewing staff, you found that there were differences in the understanding of the meaning of "weakness, event, and incident".
You sample incident report records from the event tracking system for the last 6 months with summarized results in the following table.

You would like to further investigate other areas to collect more audit evidence. Select two options that will not be in your audit trail.

• A. Collect more evidence by interviewing more staff about their understanding of the reporting process.
  (Relevant to control A.6.8)
• B. Collect more evidence on the incident recovery procedures. (Relevant to control A.5.26)
• C. Collect more evidence on how and when the company pays the ransom fee to unlock the company's mobile phone and data, i.e., credit card, and bank transfer. (Relevant to control A.5.26)
• D. Collect more evidence on how the organisation determined the incident recovery time. (Relevant to control A.5.27)
• E. Collect more evidence on how the organization determined no further action was needed after the incident. (Relevant to control A.5.26)
• F. Collect more evidence on how and when the Human Resources manager pays the ransom fee to unlock personal mobile data, i.e., credit card, and bank transfer. (Relevant to control A.5.26)

Answer: C,F

Explanation:
*C. Collect more evidence on how and when the Human Resources manager pays the ransom fee to unlock personal mobile data, i.e., credit card, and bank transfer. (Relevant to control A.5.26) This is not relevant to the audit of the organization's incident management process. The HR manager's personal phone and how they handle a ransomware attack on it falls outside the scope of the ISMS audit. The organization is not responsible for personal devices.
*B. Collect more evidence on how and when the company pays the ransom fee to unlock the company's mobile phone and data, i.e., credit card, and bank transfer. (Relevant to control A.5.26) While seemingly relevant, this focuses on the method of payment for the ransom. The core issue is the organization paying the ransom at all, which is generally not best practice in incident response. The audit should focus on why this decision was made and if alternative solutions were considered (e.g., data backups, device wiping and restoration).
Why the other options ARE relevant:
*A. Collect more evidence by interviewing more staff about their understanding of the reporting process.
(Relevant to control A.6.8) This directly addresses the identified discrepancy in understanding "weakness, event, and incident," which is crucial for proper incident reporting.
*D. Collect more evidence on how the organisation determined the incident recovery time. (Relevant to control A.5.27) This investigates the basis for the 24-hour recovery time, which seems arbitrary and may not be appropriate for all incidents.
*E. Collect more evidence on how the organization determined no further action was needed after the incident. (Relevant to control A.5.26) This probes the adequacy of the incident response, especially the lack of preventative measures after paying the ransom.
*F. Collect more evidence on the incident recovery procedures. (Relevant to control A.5.26) This examines the actual procedures to assess their effectiveness and alignment with best practices.

NEW QUESTION # 36
An audit team leader is planning a follow-up audit after the completion of a third-party surveillance audit earlier in the year. They have decided they will verify the nonconformities that require corrections before they move on to consider corrective actions.
Based on the descriptions below, which four of the following are corrections for nonconformities identified at the surveillance?

• A. A signature missing from a client's contract for the supply of data services was added
• B. Data centre staff not carrying out backups in accordance with specified procedures were retrained
• C. Hard drive HD302 which had been colour-coded green (available for use) instead of red (to be destroyed) was removed from the system
• D. The organisation, having failed to maintain its Schedule of Applicability, re-allocated responsibility for its updating to the Technical Director
• E. Scheduled management reviews, having been missed, were prioritised by the General Manager for holding on a specific date twice each following year
• F. The documented process for product shipment, which did not reflect how this activity was conducted by the despatch team, was re-written and the team trained accordingly
• G. A software installation guide which had not been sent to the client along with their new system was posted out
• H. An incorrectly dated purchase order for a new network switch was rectified

Answer: A,C,G,H

Explanation:
According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, a correction is an action to eliminate a detected nonconformity, such as rework, repair, or replacement1. The examples of A, B, C, and E are corrections because they fix the errors or defects that caused the nonconformities, such as a missing signature, a missing guide, a wrong date, or a wrong colour code. The other examples (D, F, G, and H) are not corrections, but corrective actions, because they address the root causes of the nonconformities, such as inadequate training, poor planning, ineffective documentation, or unclear responsibility2. References: 1:
PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 35, section 4.5.12: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 36, section 4.5.2.

NEW QUESTION # 37
A hacker gains access to a web server and reads the credit card numbers stored on that server. Which security principle is violated?

• A. Integrity
• B. Authenticity
• C. Confidentiality
• D. Availability

Answer: C

Explanation:
Confidentiality is one of the security principles that states that only authorized parties should have access to information assets. Confidentiality protects the secrecy and privacy of information from unauthorized disclosure or exposure. A hacker gaining access to a web server and reading the credit card numbers stored on that server violates the confidentiality principle, as he or she is not an authorized party and has access to sensitive information that belongs to others. Therefore, the correct answer is B. Reference: ISO/IEC 27000:2022, clause 3.8; Defining Security Principles - Pearson IT Certification.

NEW QUESTION # 38
You are an experienced ISMS audit team leader. You are currently conducting a third-party surveillance audit of an international haulage organisation. You have sampled four internal audit reports which state:
Report 1 - Auditor: Mr James.
Over the year the organisation has failed to meet its promised delivery dates on 23 occasions out of 100. This is against a target of '95% of deliveries on time'.
Grading - Minor
Corrective Action due: Within 9 months.
Report 2 - Auditor: Mr James.
Between January and March, it was noted 125 complaints were received about the Service Desk Team. Clients accused them of being rude and unresponsive.
Grading - Minor
Corrective Action due: Within 12 months.
Report 3 - Auditor: Mr James.
Of the 40 customer orders received last month, 38 were correctly processed. Of the remaining 2, one was missing a signature and one was missing a date.
Grading -
Corrections due: Within 3 weeks
Report 4 - Auditor: Mr Rogers.
Of the 30 personnel records examined, 26 were found to be fully completed whilst the remaining 4 were all missing the individual's start date.
Grading - Major
Corrections due: Within 1 week
Which four of the options demonstrate the concerns you would have about these reports?

• A. I would be concerned that the auditors focussed only on information security processes
• B. I would be concerned because action taken to address a major nonconformity should always be completed sooner than action taken to address minor nonconformities
• C. I would be concerned as to whether criteria for grading nonconformities are in existence in this organisation
• D. I would have a concern that no nonconformity review was conducted
• E. I would have a concern that one auditor appeared to be conducting most of the internal audits
• F. I would be concerned that no grading is recorded for Report 3. This could indicate that the auditor did not complete the report correctly or that they failed to make a determination as to severity
• G. I would be concerned that timing for addressing the nonconformities is significantly different in the four reports
• H. I would be concerned as to whether the auditors understand the difference between corrections and corrective actions

Answer: C,F,G,H

NEW QUESTION # 39
......

In order to be eligible for the PECB ISO-IEC-27001-Lead-Auditor certification exam, candidates must have a minimum of five years of professional experience, with at least two years of experience in information security management and one year of experience in ISMS audits. They must also have completed a PECB-recognized lead auditor training course or equivalent. Upon successful completion of the exam, candidates will receive a PECB Certified ISO/IEC 27001 Lead Auditor certificate that is valid for three years.

 

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