Check the Free demo of our ISO-IEC-27001-Lead-Auditor Exam Dumps with 280 Questions [Q49-Q65]

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The ISO-IEC-27001-Lead-Auditor certification exam is intended for professionals who have experience in information security management and auditing. It is designed to help individuals acquire the skills and knowledge required to conduct an effective and efficient ISMS audit. PECB Certified ISO/IEC 27001 Lead Auditor exam certification exam covers various topics, including the principles of information security management, the ISO 27001 standard, auditing techniques, and the certification process.

NEW QUESTION 49
An employee caught with offense of abusing the internet, such as P2P file sharing or video/audio streaming, will not receive a warning for committing such act but will directly receive an IR.

True

False

NEW QUESTION 50
Which two of the following phrases would apply to “plan” in relation to the Plan-Do-Check-Act cycle for a business process?

Retaining documentation

Organising changes

Setting objectives

Training staff

Providing ICT assets

NEW QUESTION 51
You are an ISMS audit team leader preparing to chair a closing meeting following a third-party surveillance audit. You are drafting a closing meeting agenda setting out the topics you wish to discuss with your auditee.
Which one of the following would be appropriate for inclusion?

A detailed explanation of the certification body’s complaints process

An explanation of the audit plan and its purpose

A disclaimer that the result of the audit is based on the sampling of evidence

Names of auditees associated with nonconformities

Explanation
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.

NEW QUESTION 52
Who is responsible for Initial asset allocation to the user/custodian of the assets?

Asset Manager

Asset Owner

Asset Practitioner

Asset Stakeholder

NEW QUESTION 53
What is a definition of compliance?

Laws, considered collectively or the process of making or enacting laws

The state or fact of according with or meeting rules or standards

An official or authoritative instruction

A rule or directive made and maintained by an authority.

NEW QUESTION 54
During a follow-up audit, you notice that a nonconformity identified for completion before the follow-up audit is still outstanding.
Which four of the following actions should you take?

Report the failure to address the corrective action for the outstanding nonconformity to the organisation’s top management

Immediately raise an nonconformity as the date for completion has been exceeded

If the delay is justified agree on a revised date for clearing the nonconformity with the auditee/audit client

Contact the individuals) managing the audit programme to seek their advice as to how to proceed

Decide whether the delay in addressing the nonconformity is justified

Cancel the follow-up audit and return when an assurance has been received that the nonconformity has been cleared

Note the nonconformity is still outstanding and follow audit trails to determine why

If the delay is unjustified advise the auditee /audit client and agree on remedial action

NEW QUESTION 55
You are performing an ISO 27001 ISMS surveillance audit at a residential nursing home, ABC Healthcare Services. ABC uses a healthcare mobile app designed and maintained by a supplier, WeCare, to monitor residents’ well-being. During the audit, you learn that 90% erf the residents’ family members regularly receive medical device advertisements from WeCare, by email and SMS once a week. The service agreement between ABC and WeCare prohibits the supplier from using residents’ personal data. ABC has received many complaints from residents and their family members.
The Service Manager says that the complaints were investigated as an information security incident which found that they were justified. Corrective actions have been planned and implemented according to the nonconformity and corrective action management procedure.
You write a nonconformity “ABC failed to comply with information security control A.5.34 (Privacy and protection of PII) relating to the personal data of residents’ and their family members. A supplier, WeCare, used residents’ personal information to send advertisements to family members” Select three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity

ABC confirms that information security control A.5.34 is contained in the Statement of Applicability (SoA)

The Service Manager provides evidence of analysis of the cause of nonconformity and how the ABC evaluates the effectiveness of implemented corrective actions

ABC instructs all staff to follow the signed healthcare service agreement with residents’ family members

ABC conducts a management review to take the feedback from residents’ family members into consideration

ABC needs to collect more evidence on how the organisation defines the management system scope and find out if they covered WeCare the medical device manufacturer

ABC identifies and checks compliance with all applicable legislation and contractual requirements involving third parties

The Service Manager implements the corrective actions and Customer Service Representatives evaluate the effectiveness of implemented corrective actions

ABC needs to collect more evidence on how information security risk assessment relates to the identified nonconformities before concluding actions on the nonconformity

Explanation
According to the ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) course, the following corrections and corrective actions are expected from ABC in response to the nonconformity:
* B. The Service Manager provides evidence of analysis of the cause of nonconformity and how the ABC evaluates the effectiveness of implemented corrective actions. This is part of the requirement of clause
10.1 of ISO/IEC 27001:2022, which states that the organization shall determine the causes of nonconformities and evaluate the need for action to ensure that they do not recur or occur elsewhere12.
The organization shall also evaluate the effectiveness of any corrective actions taken12.
* F. ABC identifies and checks compliance with all applicable legislation and contractual requirements involving third parties. This is part of the requirement of clause 4.2 of ISO/IEC 27001:2022, which states that the organization shall determine the external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system12. This includes the legal and contractual requirements related to the information security aspects of the organization’s activities, products and services12.
* G. The Service Manager implements the corrective actions and Customer Service Representatives evaluate the effectiveness of implemented corrective actions. This is part of the requirement of clause
10.1 of ISO/IEC 27001:2022, which states that the organization shall implement any action needed and retain documented information as evidence of the results of any action taken12. The organization shall also monitor, measure, analyze and evaluate the information security performance and the effectiveness of the information security management system12.
References:
* 1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) course, CQI and IRCA Certified Training, 1
* 2: ISO/IEC 27001 Lead Auditor Training Course, PECB, 2

NEW QUESTION 56
Objectives, criteria, and scope are critical features of a third-party ISMS audit. Which two issues are audit objectives?

Evaluate customer processes and functions

Assess conformity with ISO/IEC 27001 requirements

Fulfil the audit plan

Confirm sites operating the ISMS

Determine the scope of the ISMS

Review organisation efficiency

Audit objectives are the specific purposes or goals that the customer or the certification body wants to achieve through the audit. They define what the audit intends to accomplish and provide the basis for planning and conducting the audit. Audit objectives may vary depending on the type, scope, and criteria of the audit, but they should be clear, measurable, and achievable.
Some examples of audit objectives for a third-party ISMS audit are:
* Assess conformity with ISO/IEC 27001 requirements: This objective means that the audit aims to verify that the organisation’s ISMS meets the requirements of the ISO/IEC 27001 standard, which specifies the best practices for establishing, implementing, maintaining, and improving an information security management system. The audit will evaluate the organisation’s ISMS documentation, processes, controls, and performance against the standard’s clauses and annex A controls.
* Confirm sites operating the ISMS: This objective means that the audit aims to confirm that the organisation’s ISMS covers all the relevant sites or locations where the organisation operates or provides its services. The audit will verify that the scope of the ISMS is accurate and consistent with the organisation’s context, objectives, and risks.
The other phrases are not audit objectives, but rather:
* Evaluate customer processes and functions: This is not an audit objective, but rather a possible audit criterion or a requirement that the organisation’s processes and functions should meet. The audit criterion is the reference against which the audit evidence is compared to determine conformity or nonconformity. The audit criterion may include ISO/IEC 27001 requirements, customer requirements, or other applicable standards or regulations.
* Fulfil the audit plan: This is not an audit objective, but rather a task or an activity that the auditor performs during the audit. The audit plan is a document that describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. The auditor should follow and fulfil the audit plan to ensure that the audit is conducted effectively and efficiently.
* Determine the scope of the ISMS: This is not an audit objective, but rather a prerequisite or an input for conducting the audit. The scope of the ISMS is the extent and boundaries of the information security management system within the organisation. It defines what processes, activities, locations, assets, and stakeholders are included or excluded from the ISMS. The scope of the ISMS should be determined by the organisation before applying for certification or undergoing an audit.
* Review organisation efficiency: This is not an audit objective, but rather a possible outcome or a result of conducting an audit. The organisation efficiency is a measure of how well the organisation uses its resources to achieve its goals and objectives. The audit may help review and improve the organisation efficiency by identifying strengths, weaknesses, opportunities, and threats in its information security management system.
References:
* ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB
* ISO 19011:2018 Guidelines for auditing management systems [Section 5.3.1]

NEW QUESTION 57
Which two of the following are examples of audit methods that ‘do not’ involve human interaction?

Conducting an interview using a teleconferencing platform

Performing a review of auditees procedures in preparation for an audit

Reviewing the auditee’s response to an audit finding

Analysing data by remotely accessing the auditee’s server

Observing work performed by remote surveillance

Confirming the date and time of the audit

NEW QUESTION 58
What is the difference between a restricted and confidential document?

Restricted – to be shared among an authorized group
Confidential – to be shared among named individuals

Restricted – to be shared among named individuals
Confidential – to be shared among an authorized group

Restricted – to be shared among named individuals
Confidential – to be shared across the organization only

Restricted – to be shared among named individuals
Confidential – to be shared with friends and family

NEW QUESTION 59
You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
You find all nursing home residents wear an electronic wristband for monitoring their location, heartbeat, and blood pressure always. You learned that the electronic wristband automatically uploads all data to the artificial intelligence (AI) cloud server for healthcare monitoring and analysis by healthcare staff.
To verify the scope of ISMS, you interview the management system representative (MSR) who explains that the ISMS scope covers an outsourced data center.
Select one option of the correct statement which defines the content of the scope of the ISMS.

The ISMS scope should not cover external service providers because they can have compliance difficulties with the information security policy and requirements

The ISMS scope should take any information security issues that have occurred and any interested parties’ requirements into consideration

The most likely ISMS scope is to cover the IT department and the outsourced data centre

The organisation should only follow the government’s recommendation, i.e., legal and legislation to define the ISMS scope

NEW QUESTION 60
Information has a number of reliability aspects. Reliability is constantly being threatened. Examples of threats are: a cable becomes loose, someone alters information by accident, data is used privately or is falsified.
Which of these examples is a threat to integrity?

a loose cable

accidental alteration of data

private use of data

System restart

NEW QUESTION 61
Which two of the following statements are true?

The benefit of certifying an ISMS is to show the accreditation certificate on the website.

The purpose of an ISMS is to demonstrate awareness of information security issues by management.

The benefit of certifying an ISMS is to increase the number of customers.

The benefits of implementing an ISMS primarily result from a reduction in information security risks.

The purpose of an ISMS is to apply a risk management process for preserving information security.

The purpose of an ISMS is to demonstrate compliance with regulatory requirements.

Explanation
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

NEW QUESTION 62
You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
You find all nursing home residents wear an electronic wristband for monitoring their location, heartbeat, and blood pressure always. You learned that he electronic wristband automatically uploads all data to the artificial intelligence (AI) cloud server for healthcare monitoring and analysis by healthcare staff.
To verify the scope of ISMS, you interview the management system representative (MSR) who explains that the ISMS scope covers an outsourced data center.
Select four options for the clauses and/or controls of ISO/IEC 27001:2022 that are directly relevant to the verification of the scope of the ISMS.

Control 5.3 Organizational roles, responsibilites and authorities

Clause 4.2 Understanding the needs and expectations of interested parties

Control 5.3 Legal, statutory, regulatory and contractual requirements

Control 6.3 Information security awareness, education, and training

Clause 5.2 Policy

Clause 4.1 Understanding the organization and its context

Control 7.6 Working in secure areas

Clause 4.3 Determining the scope of the information security management system

* B. This clause requires the organisation to determine the interested parties that are relevant to the ISMS, and the requirements of these interested parties12. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to identify the stakeholders that have an influence or an
* interest in the information security of the organisation, such as customers, suppliers, regulators, employees, etc. The organisation should also consider the needs and expectations of these interested parties when defining the scope of the ISMS, and ensure that they are met and communicated.
* E. This clause requires the organisation to establish an information security policy that provides the framework for setting the information security objectives and guiding the information security activities13. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to define the direction and principles of the ISMS, and to align them with the strategic goals and context of the organisation. The information security policy should also be consistent with the scope of the ISMS, and should be communicated and understood within the organisation and by relevant interested parties.
* F. This clause requires the organisation to determine the internal and external issues that are relevant to the purpose and the context of the organisation, and that affect its ability to achieve the intended outcomes of the ISMS14. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to understand the factors and conditions that influence the information security of the organisation, such as the legal, technological, social, economic, environmental, etc. The organisation should also monitor and review these issues, and consider them when defining the scope of the ISMS.
* H. This clause requires the organisation to determine the boundaries and applicability of the ISMS to establish its scope15. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to describe the information and processes that are included in the ISMS, and to document the scope in a clear and concise manner. The organisation should also consider the issues, requirements, and interfaces identified in clauses 4.1, 4.2, and 4.3 when determining the scope of the ISMS, and ensure that the scope is appropriate to the nature and scale of the organisation.
References:
1: PECB Candidate Handbook – ISO 27001 Lead Auditor, page 17 2: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause
4.2 3: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 5.2 4: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 4.1 5: ISO/IEC
27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 4.3

NEW QUESTION 63
You are an experienced ISMS audit team leader who is currently conducting a third party initial certification audit of a new client, using ISO/IEC 27001:2022 as your criteria.
It is the afternoon of the second day of a 2-day audit, and you are just about to start writing your audit report.
So far no nonconformities have been identified and you and your team have been impressed with both the site and the organisation’s ISMS.
At this point, a member of your team approaches you and tells you that she has been unable to complete her assessment of leadership and commitment as she has spent too long reviewing the planning of changes.
Which one of the following actions will you take in response to this information?

Apologise to the client and tell them you will return at a later date to review leadership and commitment.

Suggest to the client that if they are prepared to upgrade your return flight to first class you will audit leadership and commitment in your own time tomorrow.

Advise the auditee and audit client that it is not possible to make a positive recommendation at this point.

Advise the auditee that the certification audit will need to be terminated and rescheduled.

Contact the individual managing the audit programme and seek their permission to record a positive recommendation in the audit report.

Contact your head office and await their further instructions of how to proceed.

Given there have been no nonconformities identified and the overall impression of the organisation has been a good one, record a positive recommendation for certification in the audit report.

Review the audit plan and client availabilities to determine whether there is any opportunity for another member of your team to pick up this task before the closing meeting.

NEW QUESTION 64
Which six of the following actions are the individual(s) managing the audit programme responsible for?

Selecting the audit team

Retaining documented information of the audit results

Defining the objectives, scope and criteria for an individual audit

Defining the plan of an individual audit

Establishing the extent of the audit programme

Establishing the audit programme

Determining the resources necessary for the audit programme

Communicating with the auditee during the audit

NEW QUESTION 65
Which of the following factors does NOT contribute to the value of data for an organisation?

The correctness of data

The indispensability of data

The importance of data for processes

The content of data

PECB ISO-IEC-27001-Lead-Auditor exam is ideal for individuals who are looking to advance their careers in the field of information security management. ISO-IEC-27001-Lead-Auditor exam covers a range of topics, including information security management systems, risk management, and the auditing process. Successful completion of the exam demonstrates that an individual has the skills and knowledge necessary to lead an audit team and evaluate an organization’s information security management system.

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