Free PECB ISO-IEC-27001-Lead-Auditor Practice Exam with Questions & Answers | Set: 4

The number of days assigned to a third-party audit is not determined by the auditee’s availability, but by the audit program, which considers the audit scope, objectives, criteria, risks, and resources12. The auditee’s availability is only one factor that affects the audit planning and scheduling, but not the audit duration3. Auditors approved for conducting onsite audits do require additional training for virtual audits, as there are significant differences in the skillset required. Virtual audits pose different challenges and opportunities than onsite audits, such as communication, technology, security, and evidence collection4 . Auditors need to be familiar with the tools and techniques for conducting remote audits, as well as the ethical and professional behavior expected in a virtual environment . References:

• PECB Candidate Handbook - ISO 27001 Lead Auditor, page 18
• ISO 19011:2018, Guidelines for auditing management systems, clause 5.3.2
• ISO 19011:2018, Guidelines for auditing management systems, clause 6.3.1
• Deloitte - Conducting a Virtual Internal Audit, page 1
• [A Guide to Conducting Effective and Efficient Remote Audits], page 1
• [ISO 19011:2018, Guidelines for auditing management systems], clause 7.2.3
• [Remote Auditing Best Practices & Checklist for Regulatory Compliance], page 1

Yes, it is acceptable for the internal auditor to follow-up on the implementation of corrective actions until verified by the external auditor during the next surveillance audit. This practice supports continuous improvement and ensures that corrective actions are effectively implemented and maintained over time.

References: PECB ISO/IEC 27001 Lead Auditor Course Material; ISO/IEC 27001:2013, Clause 9.2 (Internal audit)

The two statements that are valid audit conclusions are:

•The ISMS policy has been effectively communicated to the organisation

•The organisation’s ISMS objectives meet the requirements of ISO/IEC 27001:2022

According to ISO 19011:2018, an audit conclusion is the outcome of an audit, provided by the audit team after considering the audit objectives and all audit findings1. An audit conclusion can be positive or negative, depending on whether the audit criteria are fulfilled or not. An audit conclusion can also include recommendations for improvement or recognition of good practices.

The statements D and E are valid audit conclusions, because they express the outcome of the audit based on the audit criteria and findings. For example:

•Statement D is a positive audit conclusion, because it indicates that the organisation has fulfilled the requirement of clause 5.2.2 of ISO/IEC 27001:2022, which states that the ISMS policy must be communicated within the organisation and to relevant interested parties2. The audit team must have obtained sufficient and appropriate audit evidence to support this conclusion, such as records of communication, awareness activities, feedback, etc.

•Statement E is a positive audit conclusion, because it indicates that the organisation has fulfilled the requirement of clause 6.2 of ISO/IEC 27001:2022, which states that the organisation must establish ISMS objectives that are consistent with the ISMS policy and relevant to the information security risks3. The audit team must have obtained sufficient and appropriate audit evidence to support this conclusion, such as records of objective setting, risk assessment, alignment with policy, etc.

The other statements are not valid audit conclusions, because they do not express the outcome of the audit based on the audit criteria and findings. They are rather examples of audit findings, which are the results of the evaluation of the collected audit evidence against the audit criteria4. Audit findings can indicate either conformity or nonconformity with the audit criteria, or opportunities for improvement. For example:

•Statement A is a negative audit finding, because it indicates a nonconformity with the requirement of clause 7.2.2 of ISO/IEC 27001:2022, which states that the organisation must provide information security awareness education and training to persons under its control5. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement B is a negative audit finding, because it indicates a nonconformity with the requirement of clause 6.1.2 of ISO/IEC 27001:2022, which states that the organisation must maintain and review the information security risk assessment at planned intervals or when significant changes occur6. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement C is a negative audit finding, because it indicates a nonconformity with the requirement of clause 10.1 of ISO/IEC 27001:2022, which states that the organisation must take action to eliminate the causes of nonconformities and prevent recurrence7. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement F is a negative audit finding, because it indicates a nonconformity with the requirement of clause 6.1.3 of ISO/IEC 27001:2022, which states that the organisation must determine the controls that are necessary to implement the risk treatment plan, and document them in the statement of applicability8. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

References: 1: ISO 19011:2018, 3.15; 2: ISO/IEC 27001:2022, 5.2.2; 3: ISO/IEC 27001:2022, 6.2; 4: ISO 19011:2018, 3.14; 5: ISO/IEC 27001:2022, 7.2.2; 6: ISO/IEC 27001:2022, 6.1.2; 7: ISO/IEC 27001:2022, 10.1; 8: ISO/IEC 27001:2022, 6.1.3; : ISO 19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO 19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

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

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:

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

•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.

•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 — Requirements for bodies providing audit and certification of management systems — Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology — Security techniques — 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 — Security techniques — Guidelines for information security management systems auditing, clause 6.3.3.

Machine learning is a subset of artificial intelligence that involves the use of algorithms and statistical models to enable systems to improve their performance on a specific task over time with experience or data, without being explicitly programmed. In the context of the scenario, machine learning would be the technology that allows the chatbot to learn from patterns in queries to provide the right answers.

A document review is a process of examining the documented information related to the management system before the on-site audit activities. The purpose of a document review is to: 12

• Determine the conformity of the management system, as far as documented, with audit criteria, i.e., to check whether the documents are consistent, complete, and compliant with the requirements of ISO/IEC 27001 and any other applicable standards or regulations.
• Gather information to support the on-site audit activities, i.e., to identify the scope, objectives, processes, controls, risks, and opportunities of the management system, and to plan the audit methods, techniques, and resources accordingly.

The other statements are not accurate, because:

• A document review does not reveal or decide about the conformity or nonconformity of the management system as a whole, but only of the documented information. The conformity or nonconformity of the management system is determined by the on-site audit activities, which include interviews, observations, and tests12
• A document review does not gather evidence or findings to support the audit report or process, but information to support the on-site audit activities. The evidence or findings are collected during the on-site audit activities, which are then documented and reported12
• A document review does not detect any nonconformity of the management system, if documented, but determines the conformity of the documented information. The nonconformity of the management system is detected by the on-site audit activities, which evaluate the performance and effectiveness of the management system12
• A document review does not identify information to support the audit plan, but gathers information to support the on-site audit activities. The audit plan is prepared before the document review, based on the audit scope, objectives, criteria, and program. The document review is part of the audit plan implementation12

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 correct sequence of the steps of the audit lifecycle according to ISO 19011:2018 is:

• Step 1: Audit initiation
• Step 2: Audit preparation
• Step 3: Conducting the audit
• Step 4: Preparing and distributing the audit report
• Step 5: Audit completion
• Step 6: Audit follow-up

This sequence reflects the logical order of the audit activities, from establishing the audit objectives, scope and criteria, to verifying the implementation and effectiveness of the corrective actions. However, ISO 19011:2018 also recognizes that some audit activities can be iterative or concurrent, depending on the nature and complexity of the audit. For example, audit preparation and conducting the audit can overlap when new information or changes occur during the audit. Similarly, audit follow-up can be integrated with audit completion when the corrective actions are verified shortly after the audit. Therefore, the audit lifecycle should be adapted to the specific context and needs of each audit.

A vulnerability is a weakness in an information system, system security procedures, internal controls, or implementation that could be exploited by a threat source. In this case, not checking the source code of an updated application can lead to unauthorized modifications, thus representing a vulnerability that may impact the integrity of the information, as integrity refers to the accuracy and completeness of the information. References: = The explanation aligns with the general principles of information security management systems and the content typically covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs, which include understanding vulnerabilities and their impact on information security attributes like integrity.

• Establishing the audit programme objectives, scope and criteria
• Determining the resources necessary for the audit programme, such as the audit team members, the budget, the time, the tools, etc.
• Selecting and appointing the audit team leaders and auditors
• Reviewing and approving the audit plans and arrangements
• Ensuring the effective communication and coordination among the audit programme stakeholders, such as the auditors, the auditees, the certification bodies, the accreditation bodies, etc.
• Keeping informed the accreditation body on the progress of the audit programme, especially in case of any significant changes, issues, or nonconformities
• Monitoring and reviewing the performance and results of the audit programme and the audit teams
• Evaluating the feedback and satisfaction of the auditees and other interested parties
• Identifying and implementing the opportunities for improvement of the audit programme

The individual(s) managing the audit programme are not responsible for the following tasks, which are delegated to the audit team leaders or the auditors12:

• Communicating with the auditee during the audit, such as conducting the opening and closing meetings, resolving any audit-related problems, reporting any audit findings, etc.
• Determining the legal requirements applicable to each audit, such as the confidentiality, the impartiality, the consent, the liability, etc.
• Defining the objectives, scope and criteria for an individual audit, which are derived from the audit programme and agreed with the auditee
• Defining the plan of an individual audit, which includes the audit schedule, the audit activities, the audit methods, the audit documents, etc.

References:

• ISO 19011:2018 - Guidelines for auditing management systems
• PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-20