Free PECB ISO-IEC-27001-Lead-Auditor Practice Exam with Questions & Answers | Set: 2

The best response to the email from the IT support team asking for personal details is to not respond to the email and report it to your supervisor. The email is likely a phishing attempt, which is a form of social engineering that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. The IT support team should never ask for your password or other personal details via email, as this is a violation of information security policies and best practices. Ignoring the email or responding to it by saying that one should not share the password with anyone are not sufficient responses, as they do not alert the IT support team or your supervisor about the phishing attempt, which could affect other users as well. Reporting the email to your supervisor is a responsible action that could help prevent further damage or compromise of information. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2). 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 Phishing?

In the context of a third-party certification audit, it is very important to have effective communication between the audit team and the auditee. The formal communication channels, such as the names and contact details of the audit team members, the auditee representatives, the audit client and any other relevant parties, can be established during the opening meeting. This helps to ensure that the audit objectives, scope, criteria, methods, schedule and any other arrangements are clearly understood and agreed by all parties. It also facilitates the exchange of information, feedback, requests, concerns and complaints during the audit process. References: = ISO 19011:2022, clause 6.4.2; PECB Candidate Handbook ISO 27001 Lead Auditor, page 25.

The PDCA cycle is a four-step method for managing and improving processes. The steps are Plan, Do, Check, and Act. In the Plan phase, the objectives and scope of the process are defined, and the resources and activities are planned. In the Do phase, the process is implemented on a test basis, and the results are recorded and analyzed1. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

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

The use of probability theory in the sample selection process indicates that "statistical sampling" was used. Statistical sampling allows auditors to make inferences about the population based on the properties of the sample, relying on the principles of probability to select representative elements.

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

One of the advantages of having accredited certification of ISMS to ISO/IEC 27001:2022 is that it demonstrates the recognition of the credibility of the certification process. Accredited certification means that the certification body has been assessed and approved by an accreditation body, which ensures that the certification body operates according to international standards and follows impartiality, competence and consistency principles. Accredited certification also enhances the confidence of the organisation’s customers, partners, regulators and other interested parties in the organisation’s information security performance and compliance. References: = ISO/IEC 27001:2022, clause 0.2; [PECB Candidate Handbook ISO 27001 Lead Auditor], page 6; Key Benefits of ISO 27001 Certification - IT Governance.

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

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

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

Regular security awareness and training sessions for employees are a control measure aimed at preventing security incidents by ensuring that personnel are aware of information security threats and concerns, and understand their roles and responsibilities in safeguarding organizational assets. This proactive approach is designed to educate employees on the importance of security practices and to avoid the occurrence of security incidents. References: = This answer is based on the principles of personnel security management as outlined in ISO/IEC 27001, particularly in Annex A.7 which deals with human resource security before, during, and after employment, and Annex A.9 which focuses on access control and ensuring that employees have access only to the information that is necessary for their job role

The two phrases that would apply to ‘check’ in the Plan-Do-Check-Act cycle for a business process are:

• C. Verifying training
• F. Auditing processes

• C. This phrase applies to ‘check’ in the PDCA cycle because it involves measuring and evaluating the effectiveness of the training activities that were implemented in the ‘do’ phase. Training is an important aspect of information security awareness, education, and competence, which are required by clause 7.2 of ISO 27001:20221. Verifying training can help the organisation to assess whether the staff have acquired the necessary knowledge, skills, and behaviour to perform their roles and responsibilities in relation to information security. Verifying training can also help the organisation to identify any gaps or weaknesses in the training program and to plan for improvement actions.
• F. This phrase applies to ‘check’ in the PDCA cycle because it involves examining and reviewing the performance and conformity of the processes that were implemented in the ‘do’ phase. Auditing is a systematic, independent, and documented process for obtaining objective evidence and evaluating it to determine the extent to which the audit criteria are fulfilled2. Auditing processes can help the organisation to verify whether the information security objectives and requirements are met, whether the information security controls are effective and efficient, and whether the information security risks are adequately managed. Auditing processes can also help the organisation to identify any nonconformities or opportunities for improvement and to plan for corrective or preventive actions.

References:

1: ISO/IEC 27001:2022 - Information technology — Security techniques — Information security management systems — Requirements, clause 7.2 2: ISO 19011:2018 - Guidelines for auditing management systems, clause 3.2