Pass the PECB ISO 27001 ISO-IEC-27001-Lead-Auditor Questions and answers with CertsForce

•Second-Party Audits: These involve an organization (the customer) auditing another organization with which it has a relationship (such as a supplier). The focus is on ensuring the supplier meets the customer's information security requirements.

•Accreditation Bodies: These assess the competence of certification bodies but don't directly participate in second-party audits.

•CQI and IRCA: These organizations provide auditor certifications but their training alone doesn't automatically qualify someone for second-party ISO/IEC 27001 audits. The auditor should have specific knowledge of the standard.

The requirements for Information Security objectives are found in ISO/IEC 27001:2022, clause 6.2:

Top management shall ensure that information security objectives are established.

Objectives must:

Be consistent with the information security policy.

Be measurable (if practicable).

Take into account applicable information security requirements, and results from risk assessments and risk treatment.

Be communicated.

Be monitored.

Be updated as appropriate.

When planning how to achieve objectives, organisations must determine:

What will be done.

What resources will be required.

Who will be responsible.

When it will be completed.

How the results will be evaluated.

Analysis of each option:

A. Reviewed at all management reviews → Concern.ISO 27001 clause 9.3 (Management review) requires that the status of objectives is reviewed, but not at all management reviews — only at scheduled ones. Mandating every review is incorrect.

B. Communication → Correct.Clause 6.2 requires objectives to be communicated. This is valid.

C. Completion date → Correct.Clause 6.2 requires organisations to determine when it will be completed. Valid.

D. Measurable → Correct.Clause 6.2 explicitly says objectives must be measurable (if practicable). Valid.

E. Distributed to all staff → Concern.Clause 6.2 requires objectives to be communicated to those who need to be aware, not all staff. This is overreach and not aligned with the standard.

F. Budget/resources → Correct.Clause 6.2 requires determining what resources will be required. Valid.

G. Process to revisit → Correct.Clause 6.2 requires objectives to be updated as appropriate. Valid.

H. Top management determine annually → Concern.Clause 6.2 requires top management to ensure objectives are established, but there is no requirement for an annual cycle. This could cause mis-audit findings.

ISO/IEC 27001:2022, Clause 6.2 (Information security objectives and planning to achieve them)

Relevant Standard Reference:

ISO/IEC 17021-1:2015 Clause 9.6.2 (Purpose of Surveillance Audits)

The AES (Advanced Encryption Standard) method is a symmetric-key algorithm, meaning the same key is used for both encrypting and decrypting data1. This type of control is considered preventive because it is implemented to prevent unauthorized access to confidential information by ensuring that the data is unreadable to anyone who does not have the key. References: = The explanation is based on the general understanding of encryption as a security control within the field of information security, particularly as it pertains to the ISO/IEC 27001 standard for information security management systems (ISMS), which includes encryption as a preventive control measure.

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), an organization should select and implement appropriate controls to achieve its information security objectives1. The controls should be derived from the results of risk assessment and risk treatment, and should be consistent with the Statement of Applicability (SoA), which is a document that identifies the controls that are applicable and necessary for the ISMS1. The controls can be selected from various sources, such as ISO/IEC 27002:2013, which provides a code of practice for information security controls2. Therefore, if an auditor in training has been tasked with reviewing the technological controls listed in the SoA and implemented at the site of an organization that stores data on behalf of external clients, four controls that would be expected to review are:

How protection against malware is implemented: This is a technological control that aims to prevent, detect and remove malicious software (such as viruses, worms, ransomware, etc.) that could compromise the confidentiality, integrity or availability of information or information systems2. This control is related to control A.12.2.1 of ISO/IEC 27002:20132.

How the organisation evaluates its exposure to technical vulnerabilities: This is a technological control that aims to identify and assess the potential weaknesses or flaws in information systems or networks that could be exploited by malicious actors or cause accidental failures2. This control is related to control A.12.6.1 of ISO/IEC 27002:20132.

How access to source code and development tools are managed: This is a technological control that aims to protect the intellectual property rights and integrity of software applications or systems that are developed or maintained by the organization or its external providers2. This control is related to control A.14.2.5 of ISO/IEC 27002:20132.

The operation of the site CCTV and door control systems: This is a technological control that aims to monitor and restrict physical access to the premises or facilities where information or information systems are stored or processed2. This control is related to control A.11.1.4 of ISO/IEC 27002:20132.

The other options are not examples of technological controls, but rather organizational, legal or procedural controls that may also be relevant for an ISMS audit, but are not within the scope of the auditor in training’s task. For example, the development and maintenance of an information asset inventory (related to control A.8.1.1), rules for transferring information within the organization and to other organizations (related to control A.13.2.1), confidentiality and nondisclosure agreements (related to control A.13.2.4), verification checks on personnel (related to control A.7.1.2), remote working arrangements (related to control A.6.2.1), information security within supplier agreements (related to control A.15.1.1), business continuity arrangements (related to control A.17), information deletion (related to control A.8.3), information security awareness, education and training (related to control A.7.2), equipment maintenance (related to control A.11.2), and how power and data cables enter the building (related to control A.11) are not technological controls, but rather organizational, legal or procedural controls that may also be relevant for an ISMS audit, but are not within the scope of the auditor in training’s task. References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements, ISO/IEC 27002:2013 - Information technology – Security techniques – Code of practice for information security controls

A third-party virtual audit is an external audit conducted by an independent certification body using remote technology such as video conferencing, screen sharing, and electronic document exchange. The purpose of a third-party virtual audit is to verify the conformity and effectiveness of the information security management system (ISMS) and to issue a certificate of compliance12

Before you start conducting the audit, you would need to inform the auditee about the following issues: 12

You will ask those being interviewed to state their name and position beforehand, i.e., to confirm their identity and role in the ISMS. This is to ensure that you are interviewing the relevant personnel and that they are authorized to provide information and evidence for the audit.

You will ask for a 360-degree view of the room where the audit is being carried out, i.e., to verify the physical and environmental security of the audit location. This is to ensure that there are no unauthorized persons or devices in the vicinity that could compromise the confidentiality, integrity, or availability of the information being audited.

The other issues are not relevant or appropriate for a third-party virtual audit, because:

You will ask to see the ID card of the person that is on the screen, i.e., to verify their identity. This is not necessary if you have already asked them to state their name and position beforehand, and if you have access to the auditee’s organizational chart or staff directory. Asking to see the ID card could also be seen as intrusive or disrespectful by the auditee.

You will take photos of every person you interview, i.e., to document the audit process. This is not advisable as it could violate the privacy or consent of the auditee and the interviewees. Taking photos could also be seen as unprofessional or suspicious by the auditee. You should rely on the audit records and evidence provided by the auditee and the audit tool instead.

You will not record any part of the audit, unless permitted, i.e., to respect the auditee’s preferences and rights. This is not a valid issue to inform the auditee about, as you should always record the audit for quality assurance and verification purposes. Recording the audit is also a requirement of the ISO/IEC 27001 standard and the certification body. You should inform the auditee that you will record the audit and obtain their consent before the audit begins.

You expect the auditee to have assessed all risks associated with online activities, i.e., to ensure the security of the audit process. This is not an issue to inform the auditee about, as it is part of the auditee’s responsibility and obligation to have a risk assessment and treatment process for their ISMS. You should assess the auditee’s risk management practices and controls during the audit, not before it.

The audit team’s approach is in line with recommended auditing practices, making option A the correct answer. ISO management system audits, including ISO/IEC 27001 audits, are designed to provide reasonable assurance, not absolute assurance, that the management system conforms to the standard requirements. This principle is explicitly supported by ISO 19011 and ISO/IEC 17021-1.

In the scenario, the audit team assessed conformity by reviewing key processes, questioning responsible personnel, examining representative evidence, and evaluating control effectiveness. Although access to IT systems was limited, the auditors compensated by gathering sufficient and appropriate evidence through alternative means. This approach reflects the reality of auditing complex environments, particularly those involving third-party service providers.

Option B is incorrect because ISO standards do not require auditors to assess every process in full detail. Audits are sample-based by design. Expecting a complete, exhaustive assessment of each process would be impractical and inconsistent with audit principles. Option C is incorrect because assessing the ISMS as a whole is not merely an efficiency-driven decision; it is an accepted and intentional audit approach aimed at evaluating system-level effectiveness.

Therefore, obtaining reasonable assurance through a structured, evidence-based approach confirms that the audit team acted in accordance with recommended audit practices.

No, the audit scope should reflect all of the organization's divisions that are covered by the ISMS. If the ISMS scope stated that it includes the whole company, the audit scope should align with this unless specifically justified and agreed upon by all stakeholders.

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

Predictive analytics uses historical data, machine learning, and statistical models to predict future risk events.

It identifies patterns in security incidents, financial trends, and operational failures to anticipate risks before they occur.

A. Incorrect:

Real-time analysis is part of monitoring, but predictive analytics focuses on forecasting risks, not just real-time reporting.

C. Incorrect:

Data organization is essential but does not involve forecasting risks.

Relevant Standard Reference:

ISO 31000:2018 (Risk Management – Guidelines on Using Data Analytics in Risk Assessment)

Signing the certification agreement, which should clearly outline the audit objectives, scope, and responsibilities, would help prevent misunderstandings between the certification body and Data Grid Inc. A well-defined agreement ensures both parties have a clear understanding of what the audit will entail and what outputs are expected.