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

ISO/IEC 27001 focuses on the core principles of the CIA triad:

•Confidentiality: Ensuring information is accessible only to authorized individuals.

•Integrity: Maintaining the accuracy and completeness of information, protecting it from unauthorized modification.

•Availability: Information should be accessible to authorized users when needed (this is also important, but not one of the choices in this specific question).

References:

•ISO/IEC 27001:2022, Section 4.2 (Understanding the needs and expectations of interested parties): This section highlights the importance of determining relevant interested parties and their requirements related to information security, which includes addressing confidentiality, integrity, and availability.

•PECB Candidate Handbook, ISO/IEC 27001 Lead Auditor: This handbook often emphasizes the foundational role of the CIA triad within an effective Information Security Management System (ISMS).

Materiality in the context of an audit involves assessing what level of nonconformities or failures, including those related to legal and contractual compliance, would be significant enough to affect the audit conclusions. Costs related to these issues are considered when determining materiality.

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

Vehicular incidents are not a type of information security attack. A vehicular incident is an event that involves a vehicle or its driver causing damage or injury to people or property. A vehicular incident may have an impact on information security if it affects the availability or integrity of information or systems that are transported or accessed by vehicles, but it is not an intentional or malicious attack on information security. Legal incidents are a type of information security attack that involve legal actions or disputes that may compromise the confidentiality or integrity of information or systems. Technical vulnerabilities are a type of information security attack that exploit weaknesses or flaws in software or hardware that may compromise the confidentiality, integrity, or availability of information or systems. Privacy incidents are a type of information security attack that involve unauthorized access or disclosure of personal or sensitive information that may compromise the confidentiality or integrity of information or systems. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 25. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 13.

The correct action to take in this situation is to raise it as an opportunity for improvement. This is because the auditee is not violating any requirement of the standard, but rather using outdated terminology that does not reflect the current version of the standard. An opportunity for improvement is a suggestion for enhancing the performance or effectiveness of the ISMS1. It is not a nonconformity, which is a failure to fulfil a requirement2. Therefore, option B is incorrect. Option A is also incorrect, because noting the issue in the audit report without raising it as an opportunity for improvement would not provide any value or feedback to the auditee. Option D is also incorrect, because bringing the matter up at the closing meeting without documenting it as an opportunity for improvement would not ensure that the auditee takes any action to address it. References: 1: ISMS Auditing Guideline - ISO27000, page 11; 2: ISO/IEC 27000:2022, 3.28; : ISMS Auditing Guideline - ISO27000; : ISO/IEC 27000:2022

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 9.3 requires top management to review the organization’s ISMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness1. Clause 9.2 requires the organization to conduct internal audits at planned intervals to provide information on whether the ISMS conforms to its own requirements and those of ISO/IEC 27001:2022, and is effectively implemented and maintained1. Therefore, when reviewing the audit process and audit findings as a final check before the external certification body arrives, an internal ISMS auditor should verify that these clauses are met in accordance with the audit criteria.

Six of the following statements would cause concern in respect of conformity to ISO/IEC 27001:2022 requirements:

The audit programme shows management reviews taking place at irregular intervals during the year: This statement would cause concern because it implies that the organization is not conducting management reviews at planned intervals, as required by clause 9.3. This may affect the ability of top management to ensure the continuing suitability, adequacy and effectiveness of the ISMS.

The audit programme does not take into account the relative importance of information security processes: This statement would cause concern because it implies that the organization is not applying a risk-based approach to determine the audit frequency, methods, scope and criteria, as recommended by ISO 19011:2018, which provides guidelines for auditing management systems2. This may affect the ability of the organization to identify and address the most significant risks and opportunities for its ISMS.

Although the scope for each internal audit has been defined, there are no audit criteria defined for the audits carried out to date: This statement would cause concern because it implies that the organization is not establishing audit criteria for each internal audit, as required by clause 9.2. Audit criteria are the set of policies, procedures or requirements used as a reference against which audit evidence is compared2. Without audit criteria, it is not possible to determine whether the ISMS conforms to its own requirements and those of ISO/IEC 27001:2022.

Audit reports to date have used key performance indicator information to focus solely on the efficiency of ISMS processes: This statement would cause concern because it implies that the organization is not evaluating the effectiveness of ISMS processes, as required by clause 9.1. Effectiveness is the extent to which planned activities are realized and planned results achieved2. Efficiency is the relationship between the result achieved and the resources used2. Both aspects are important for measuring and evaluating ISMS performance and improvement.

The audit programme does not take into account the results of previous audits: This statement would cause concern because it implies that the organization is not using the results of previous audits as an input for planning and conducting subsequent audits, as recommended by ISO 19011:20182. This may affect the ability of the organization to identify and address any recurring or unresolved issues or nonconformities related to its ISMS.

Top management commitment to the ISMS will not be audited before the certification visit, according to the audit programme: This statement would cause concern because it implies that the organization is not verifying that top management demonstrates leadership and commitment with respect to its ISMS, as required by clause 5.1. This may affect the ability of top management to ensure that the ISMS policy and objectives are established and compatible with the strategic direction of the organization; that roles, responsibilities and authorities for relevant roles are assigned and communicated; that resources needed for the ISMS are available; that communication about information security matters is established; that continual improvement of the ISMS is promoted; that other relevant management reviews are aligned with those of information security; and that support is provided to other relevant roles1.

The other statements would not cause concern in respect of conformity to ISO/IEC 27001:2022 requirements:

Audit reports are not held in hardcopy (i.e. on paper). They are only stored as ".POF documents on the organisation’s intranet: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific format or media for documenting or storing audit reports, as long as they are controlled according to clause 7.5.

The audit programme mandates auditors must be independent of the areas they audit in order to satisfy the requirements of ISO/IEC 27001:2022: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for auditor independence, as long as the audit is conducted objectively and impartially, in accordance with ISO 19011:20182.

The audit programme does not reference audit methods or audit responsibilities: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for referencing audit methods or audit responsibilities in the audit programme, as long as they are defined and documented according to ISO 19011:20182.

The audit process states the results of audits will be made available to ‘relevant’ managers, not top management: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for communicating the results of audits to top management, as long as they are reported to the relevant parties and used as an input for management review, according to clause 9.3.

References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements, ISO 19011:2018 - Guidelines for auditing management systems

The benefits of implementing an ISMS primarily result from a reduction in information security risks. E. The purpose of an ISMS is to apply a risk management process for preserving information security. Comprehensive and Detailed Explanation: According to the ISO 27001 standard, the benefits of implementing an ISMS include the following1:

Assuring customers and other stakeholders of the confidentiality, integrity and availability of information

Enhancing the ability to respond to information security incidents and minimize their impacts

Improving the governance and management of information security

Reducing the costs and losses associated with information security breaches

Increasing the competitiveness and reputation of the organization

Complying with legal, regulatory and contractual obligations The purpose of an ISMS is to provide a systematic approach to managing information security risks, based on the Plan-Do-Check-Act (PDCA) cycle1. The ISMS enables the organization to establish, implement, maintain and continually improve its information security performance, in alignment with its business objectives and the needs and expectations of interested parties1. The ISMS consists of the following elements1:

The information security policy and objectives

The scope and boundaries of the ISMS

The processes and procedures for information security risk assessment and treatment

The resources and competencies for information security

The roles and responsibilities for information security

The performance evaluation and improvement of the ISMS

The internal and external communication and awareness of the ISMS References:

ISO/IEC 27001:2013, Information technology — Security techniques — Information security management systems — Requirements, clauses 1, 4, 5, 6, 7, 8, 9 and 10

PECB Candidate Handbook ISO 27001 Lead Auditor, pages 9-11

ISO/IEC 27001:2013 Information Security Management Standards

4 Key Benefits of ISO 27001 Implementation | ISMS.online

ISO/IEC 27001:2022

An Introduction to the ISO 27001 ISMS | Secureframe

No, copies of files are not generally kept as audit records unless specifically required and agreed upon in the audit plan. Audit records typically include notes and observations made by auditors, not copies of the auditee's files, unless these are essential and explicitly allowed by the auditee.

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

The Check stage of the PDCA cycle involves monitoring and measuring the performance of the process and comparing it with the planned objectives and criteria. In the context of managing an internal audit programme, this stage includes verifying the effectiveness of the internal audit programme by evaluating whether it meets its objectives, scope, and criteria, and whether it is implemented in accordance with ISO 19011 guidelines1. It also includes reviewing the trends in internal audit results by analyzing the data collected from the audits, such as audit findings, nonconformities, corrective actions, opportunities for improvement, and customer feedback1. References: ISO 19011:2018 - Guidelines for auditing management systems

Knowledge is the understanding of facts, concepts, principles, theories and practices related to a specific subject or discipline. Skills are the ability to apply knowledge and use know-how to complete tasks and solve problems. According to ISO 19011:2018, the knowledge and skills of an auditor include the following:

Knowledge of audit principles, procedures and methods

Knowledge of management system standards and reference documents

Knowledge of the organization’s context, scope, processes and objectives

Knowledge of relevant legal, regulatory and contractual requirements

Knowledge of applicable industry, sector or technical disciplines

Knowledge of risk management and risk-based thinking

Skill in collecting and verifying information

Skill in evaluating conformity and effectiveness of management systems

Skill in reporting and communicating audit results

Skill in managing audit activities and teams

Based on this, the activities that are predominately related to knowledge are designing a checklist and determining what evidence to gather, as they require the auditor to understand the audit criteria, scope, objectives and methods, as well as the organization’s context, processes and risks. The other activities are more related to skills, as they involve applying knowledge and using know-how to perform tasks and solve problems during the audit.

References:

ISO 19011:2018, Guidelines for auditing management systems, clauses 7.2.1, 7.2.2 and 7.2.3

PECB Candidate Handbook - ISO 27001 Lead Auditor, pages 9-10 and 16-17

ISO 9001 Auditing Practices Group Guidance on: Auditing Competence, pages 2-3 and 8