ISO-IEC-27001-Lead-Auditor PECB Certified ISO/IEC 27001 2022 Lead Auditor exam exact Exam Questions

PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

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Question # 4

You are an ISMS audit team leader who has been assigned by your certification body to carry out a follow-up audit of a client. You are preparing your audit plan for this audit.

Which two of the following statements are true?

Verification should focus on whether any action undertaken taken has been undertaken efficiently

Corrections should be verified first, followed by corrective actions and finally opportunities for improvement

Verification should focus on whether any action undertaken is complete

Opportunities for improvement should be verified first, followed by corrections and finally corrective actions

Corrective actions should be reviewed first, followed by corrections and finally opportunities for improvement

Verification should focus on whether any action undertaken has been undertaken effectively

Answer:

C, F

Explanation:

According to ISO 27001:2022 clause 9.1.2, the organisation shall conduct internal audits at planned intervals to provide information on whether the information security management system conforms to the organisation’s own requirements, the requirements of ISO 27001:2022, and is effectively implemented and maintained12

According to ISO 27001:2022 clause 10.1, the organisation shall react to the nonconformities and take action, as applicable, to control and correct them and deal with the consequences. The organisation shall also evaluate the need for action to eliminate the causes of nonconformities, in order to prevent recurrence or occurrence. The organisation shall implement any action needed, review the effectiveness of any corrective action taken, and make changes to the information security management system, if necessary12

A follow-up audit is a type of internal audit that is conducted after a previous audit to verify whether the nonconformities and corrective actions have been addressed and resolved, and whether the information security management system has been improved12

Therefore, the following statements are true for preparing a follow-up audit plan:

Verification should focus on whether any action undertaken is complete. This means that the auditor should check whether the organisation has implemented all the planned actions to correct and prevent the nonconformities, and whether the actions have been documented and communicated as required12
Verification should focus on whether any action undertaken has been undertaken effectively. This means that the auditor should check whether the organisation has achieved the intended results and objectives of the actions, and whether the actions have eliminated or reduced the nonconformities and their causes and consequences12

The following statements are false for preparing a follow-up audit plan:

Verification should focus on whether any action undertaken has been undertaken efficiently. This is false because efficiency is not a criterion for verifying the actions taken to address the nonconformities and corrective actions. Efficiency refers to the optimal use of resources to achieve the desired outcomes, but it is not a requirement of ISO 27001:2022. The auditor should focus on the effectiveness and completeness of the actions, not on the efficiency12
Corrections should be verified first, followed by corrective actions and finally opportunities for improvement. This is false because there is no prescribed order for verifying the corrections, corrective actions, and opportunities for improvement. The auditor should verify all the actions taken by the organisation, regardless of their sequence or priority. The auditor may choose to verify the actions based on their relevance, significance, or impact, but this is not a mandatory requirement12
Opportunities for improvement should be verified first, followed by corrections and finally corrective actions. This is false because there is no prescribed order for verifying the opportunities for improvement, corrections, and corrective actions. The auditor should verify all the actions taken by the organisation, regardless of their sequence or priority. The auditor may choose to verify the actions based on their relevance, significance, or impact, but this is not a mandatory requirement12
Corrective actions should be reviewed first, followed by corrections and finally opportunities for improvement. This is false because there is no prescribed order for reviewing the corrective actions, corrections, and opportunities for improvement. The auditor should review all the actions taken by the organisation, regardless of their sequence or priority. The auditor may choose to review the actions based on their relevance, significance, or impact, but this is not a mandatory requirement12

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

Question # 5

Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the

fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is

considered to be the ultimate media machine of 2021 which will give the best gaming experience to players. The console pack will include a pair of VR headset, two

games, and other gifts.

Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the

reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market. Besides being a very customer-oriented company, Knight

also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.

Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.

Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an

operational ISMS for over a year. The ISMS scope includes all departments of Knight, except Finance and HR departments.

Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze

every part of the system and the details of the incident.

The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their

accounts. However, after carefully investigating the incident, the IRT determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.

FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.

Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone

capturing the traffic can only see encrypted data.

Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of

the process were approved by the ISMS project manager who claimed that the level of risk after the implementation of new controls was in accordance with the

company's risk acceptance levels.

Based on this scenario, answer the following question:

According to scenario 2, the ISMS scope was not applied to the Finance and HR Department of Knight. Is this acceptable?

Yes, the ISMS must be applied only to processes and assets that may directly impact information security

Yes, the ISMS scope can include the whole organization or only particular departments within the organization

No, the ISMS scope must include all organizational units and processes

Question # 6

You are an experienced ISMS audit team leader conducting a third-party surveillance visit.

You notice that although the auditee is claiming conformity with ISO/IEC 27001:2022 they are still referring to Improvement as clause 10.2 (as it was in the 2013 edition) when this is now clause 10.1 in

the 2022 edition. You have confirmed they are meeting all of the 2022 requirements set out in the standard.

Select one option of the action you should take.

Note the issue in the audit report

Raise a nonconformity against clause 7.5.3 - Control of documented information

Raise it as an opportunity for improvement

Bring the matter up at the closing meeting

Question # 7

Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the

fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is

considered to be the ultimate media machine of 2021 which will give the best gaming experience to players. The console pack will include a pair of VR headset, two

games, and other gifts.

Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the

reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market. Besides being a very customer-oriented company, Knight

also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.

Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.

Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an

operational ISMS for over a year. The ISMS scope includes all departments of Knight, except Finance and HR departments.

Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze

every part of the system and the details of the incident.

The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their

accounts. However, after carefully investigating the incident, the IRT determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.

FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.

Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone

capturing the traffic can only see encrypted data.

Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of

the process were approved by the ISMS project manager who claimed that the level of risk after the implementation of new controls was in accordance with the

company's risk acceptance levels.

Based on this scenario, answer the following question:

FTP uses clear text passwords for authentication. This is an FTP:

Vulnerability

Risk

Threat

Question # 8

You are carrying out a third-party surveillance audit of a client's ISMS. You are currently in the secure storage area of the data centre where the organisation's customers are able to temporarily locate equipment coming into or going out of the site. The equipment is contained within locked cabinets and each cabinet is allocated to a single, specific client.

Out of the corner of your eye you spot movement near the external door of the storage area. This is followed by a loud noise. You ask the guide what is going on. They tell you that recent high rainfall has raised local river levels and caused an infestation of rats. The noise was a specialist pest control stunning device being triggered. You check the device in the corner and find there is a large immobile rat contained within it.

What three actions would be appropriate to take next?

Take no further action. This is an ISMS audit, not an environmental management system audit

Investigate whether pest infestation is an identified risk and if so, what risk treatment is to be applied

Determine whether the high levels of rainfall have had other impacts on data centre operations e.g. damage to infrastructure, access issues for clients, invocation of business continuity arrangements

Raise a nonconformity against control 7.4 Physical Security monitoring

Raise a nonconformity against control 7.2 Physical Entry

Check with the guide that they intend to initiate the organisation's information security incident process

Inspect the client cabinets for signs of rodent ingress and record your findings as audit evidence

Question # 9

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

Internal Mail

Public Mail

Confidential Mail

Restricted Mail

Question # 10

You are an experienced ISMS audit team leader. An auditor in training has approached you to ask you to clarify the different types of audits she may be required to undertake.

Match the following audit types to the descriptions.

To complete the table click on the blank section you want to complete so that It is highlighted In fed, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.