Most Recent PECB ISO-IEC-27001-Lead-Auditor Exam Dumps

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A . Correct Answer:

Internal auditors focus on internal audit nonconformities, while external auditors oversee external audit follow-ups.

B . Incorrect:

Minor nonconformities do not change the role of internal auditors.

C . Incorrect:

Internal auditors do not follow up on external audit findings---this is the certification body's responsibility.

Relevant Standard Reference:

ISO/IEC 27001:2022 Clause 9.2.2 (Internal Audit Responsibilities)

The only option that is not prohibited in acceptable use of information assets is C: company-wide e-mails with supervisor/TL permission. This option implies that the sender has obtained the necessary authorization from their supervisor or team leader to send an e-mail to all employees in the organization. This could be done for legitimate business purposes, such as announcing important news, events or updates that are relevant to everyone. However, this option should still be used sparingly and responsibly, as it could cause unnecessary disruption or annoyance to the recipients if abused or misused. The other options are prohibited in acceptable use of information assets, as they could violate the information security policies and procedures of the organization, as well as waste resources and bandwidth. Electronic chain letters (A) are messages that urge recipients to forward them to multiple other people, often with false or misleading claims or promises. They are considered spam and could contain malicious links or attachments that could compromise information security. E-mail copies to non-essential readers (B) are messages that are sent to recipients who do not need to receive them or have no interest in them. They are considered unnecessary and could clutter the inbox and distract the recipients from more important messages. Messages with very large attachments or to a large number of recipients (D) are messages that consume a lot of network resources and could affect the performance or availability of the information systems. They could also exceed the storage capacity or quota limits of the recipients' mailboxes and cause problems for them. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3).Reference:CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course,ISO/IEC 27001:2022 Information technology --- Security techniques --- Information security management systems --- Requirements,What is Acceptable Use?

According to ISO/IEC 27001:2022 clause 8.1, the organization must plan, implement and control the processes needed to meet the information security requirements, and to implement the actions determined in clause 6.1. The organization must also ensure that the outsourced processes are controlled or influenced. According to control A.5.24, the organization must establish and maintain an information security incident management process that includes reporting information security events and weaknesses. Therefore, the use of lower grade machines for the secure disposal of confidential documents and media could pose a significant information security risk and a potential breach of contract with the clients. The auditor should respond to this information by:

A . Advising the individual managing the audit programme of any recommendation by you to conduct a further audit prior to certification. This is in accordance with ISO/IEC 27006:2022 clause 7.4.3, which states that the audit team leader shall report to the certification body any situation that may significantly affect the audit conclusions or the certification decision, and propose any necessary changes to the audit plan.

C . Considering the need for a subsequent audit within 4 weeks based on the additional information that has come to light. This is in accordance with ISO/IEC 27006:2022 clause 7.5.2, which states that the audit team leader shall review the audit findings and any other appropriate information collected during the audit to determine the audit conclusions, and to identify any need for a subsequent audit.

G . Verifying with the auditee that lower grade machines are used in certain circumstances. This is in accordance with ISO/IEC 27006:2022 clause 7.4.2, which states that the audit team leader shall ensure that the audit is conducted in accordance with the audit plan, and that any changes to the plan are agreed upon and documented.

The other options are not appropriate responses, as they either ignore the information, exceed the scope of the audit, or prematurely raise a nonconformity without sufficient evidence. For example:

B . Cancelling the production of the audit report and instead reviewing the organization's contracts with its clients to determine whether they have permitted the use of lower grade machines. This is not a suitable response, as it would delay the audit process and the certification decision, and it would involve reviewing documents that are outside the scope of the ISMS audit. The auditor should focus on verifying the information security risk assessment and treatment process, and the information security incident management process, as they relate to the use of lower grade machines.

D . Doing nothing. All audits are based on a sample and the sample you took did not include a planned review of the lower grade machines. This is not a suitable response, as it would disregard a significant information security risk and a potential nonconformity that could affect the audit conclusions and the certification decision. The auditor should follow up on the information provided by the employee and verify its validity and impact.

E . Extending the certification audit duration to create additional time to audit the use of the lower grade machines. This is not a suitable response, as it would disrupt the audit schedule and the availability of the audit team and the auditee. The auditor should report the situation to the certification body and propose any necessary changes to the audit plan, such as conducting a subsequent audit.

F . Raising a nonconformity against 8.1 Operational Planning and Control as the organization has not been open about its processes. This is not a suitable response, as it would be based on a single source of information that has not been verified or corroborated. The auditor should collect sufficient and appropriate audit evidence to support any nonconformity, and should also consider the root cause and the severity of the nonconformity.

ISO/IEC 27001:2022, clauses 8.1 and Annex A control A.5.24

ISO/IEC 27006:2022, clauses 7.4.2, 7.4.3, and 7.5.2

[PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 18-19, 23-24

A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit

ISO 27001 -- Annex A.16: Information Security Incident Management

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Managerial controls (also called administrative controls) include policies, procedures, and processes to ensure effective security governance. These controls include training, internal audits, security awareness programs, and management reviews. These align with ISO/IEC 27001:2022 Annex A Control A.5.2 (Information Security Roles and Responsibilities) and A.5.3 (Segregation of Duties).

B . Organizational structure controls relate to segregation of duties and job rotations, making them structural controls rather than purely managerial.

The overall competence of the12:

The audit scope and criteria: The audit scope defines the extent and boundaries of the audit, such as the locations, processes, functions, and time period to be audited. The audit criteria are the set of policies, procedures, standards, or requirements used as a reference against which the audit evidence is compared. The audit scope and criteria determine the complexity and extent of the audit, and thus influence the number and expertise of the auditors needed to cover all the relevant aspects of the audit.

The overall competence of the audit team needed to achieve audit objectives: The audit team should have the appropriate knowledge, skills, and experience to conduct the audit effectively and efficiently, and to provide credible and reliable audit results. The audit team competence should include the following elements12:

Generic competence: The ability to apply the principles and methods of auditing, such as planning, conducting, reporting, and following up the audit, as well as the personal behaviour and attributes of the auditors, such as ethical conduct, fair presentation, professional care, independence, and impartiality.

Discipline and sector-specific competence: The ability to understand and apply the audit criteria and the relevant technical or industry aspects of the audited organization, such as the information security management system (ISMS) requirements, the information security risks and controls, the legal and regulatory obligations, the organizational context and culture, the processes and activities, the products and services, etc.

Audit team leader competence: The ability to manage the audit team and the audit process, such as coordinating the audit activities, communicating with the audit programme manager and the auditee, resolving any audit-related problems, ensuring the quality and consistency of the audit work and the audit report, etc.

The person responsible for managing the audit programme should not consider the following factors when deciding the size and composition of the audit team for a specific audit, as they are either irrelevant or inappropriate for the audit process12:

Customer relationships: The audit team should not be influenced by any personal or professional relationships with the auditee or other interested parties, as this may compromise the objectivity and impartiality of the audit. The audit team should avoid any conflicts of interest or self-interest that may affect the audit results or the audit decisions.

Seniority of the audit team leader: The audit team leader should be selected based on their competence and experience, not on their seniority or rank within the organization or the audit programme. The audit team leader should have the authority and responsibility to manage the audit team and the audit process, regardless of their seniority or position.

The cost of the audit: The cost of the audit should not be the primary factor for determining the size and composition of the audit team, as this may compromise the quality and effectiveness of the audit. The audit team should have sufficient resources and time to conduct the audit in accordance with the audit objectives, scope, and criteria, and to provide accurate and reliable audit results and recommendations.

The duration preferred by the auditee: The duration of the audit should be based on the audit objectives, scope, and criteria, and the availability and cooperation of the auditee, not on the preference or convenience of the auditee. The audit team should have enough time to conduct the audit in a thorough and systematic manner, and to collect and evaluate sufficient and relevant audit evidence.

ISO 19011:2018 - Guidelines for auditing management systems

PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-20