Free PECB ISO-IEC-27001-Lead-Auditor Exam Actual Questions

The questions for ISO-IEC-27001-Lead-Auditor were last updated On Nov 3, 2024

Question No. 1

A decent visitor is roaming around without visitor's ID. As an employee you should do the following, except:

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Correct Answer: A

As an employee, you should do the following when you see a visitor roaming around without visitor's ID, except saying ''hi'' and offering coffee. Saying ''hi'' and offering coffee is not an appropriate action, as it may imply that you are welcoming or endorsing the visitor without verifying their identity or purpose. This may also give the visitor an opportunity to gain your trust or exploit your kindness. Calling the receptionist and informing about the visitor is an appropriate action, as it alerts the responsible staff to handle the situation and ensure that the visitor is authorized and registered. Greeting and asking him what is his business is an appropriate action, as it shows your concern and curiosity about the visitor's presence and intention. Escorting him to his destination is an appropriate action, as it prevents the visitor from wandering around unattended and accessing unauthorized areas or information.Reference:: CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 42. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.


Question No. 2

Scenario 9: UpNet, a networking company, has been certified against ISO/IEC 27001. It provides network security, virtualization, cloud computing, network hardware, network management software, and networking technologies.

The company's recognition has increased drastically since gaining ISO/IEC 27001 certification. The certification confirmed the maturity of UpNefs operations and its compliance with a widely recognized and accepted standard.

But not everything ended after the certification. UpNet continually reviewed and enhanced its security controls and the overall effectiveness and efficiency of the ISMS by conducting internal audits. The top management was not willing to employ a full-time team of internal auditors, so they decided to outsource the internal audit function. This form of internal audits ensured independence, objectivity, and that they had an advisory role about the continual improvement of the ISMS.

Not long after the initial certification audit, the company created a new department specialized in data and storage products. They offered routers and switches optimized for data centers and software-based networking devices, such as network virtualization and network security appliances. This caused changes to the operations of the other departments already covered in the ISMS certification scope.

Therefore. UpNet initiated a risk assessment process and an internal audit. Following the internal audit result, the company confirmed the effectiveness and efficiency of the existing and new processes and controls.

The top management decided to include the new department in the certification scope since it complies with ISO/IEC 27001 requirements. UpNet announced that it is ISO/IEC 27001 certified and the certification scope encompasses the whole company.

One year after the initial certification audit, the certification body conducted another audit of UpNefs ISMS. This audit aimed to determine the UpNefs ISMS fulfillment of specified ISO/IEC 27001 requirements and ensure that the ISMS is being continually improved. The audit team confirmed that the certified ISMS continues to fulfill

the requirements of the standard. Nonetheless, the new department caused a significant impact on governing the management system. Moreover, the certification body was not informed about any changes. Thus, the UpNefs certification was suspended.

Based on the scenario above, answer the following question:

Based on scenario 9, why was UpNefs certification suspended?

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Correct Answer: A

UpNet's certification was suspended because the certification body was not informed about the significant changes caused by the new department, impacting the governance of the management system. ISO/IEC 27001 requires organizations to inform the certification body of any changes that significantly impact the ISMS.


Question No. 3

You are performing an ISMS audit at a nursing home where residents always wear an electronic wristband for monitoring their location, heartbeat, and blood pressure. The wristband automatically uploads this data to a cloud server for healthcare monitoring and analysis by staff.

You now wish to verify that the information security policy and objectives have been established by top management. You are sampling the mobile device policy and identify a security objective of this policy is "to ensure the security of teleworking and use of mobile devices" The policy states the following controls will be applied in order to achieve this.

Personal mobile devices are prohibited from connecting to the nursing home network, processing, and storing residents'

data.

The company's mobile devices within the ISMS scope shall be registered in the asset register.

The company's mobile devices shall implement or enable physical protection, i.e., pin-code protected screen lock/unlock,

facial or fingerprint to unlock the device.

The company's mobile devices shall have a regular backup.

To verify that the mobile device policy and objectives are implemented and effective, select three options for your audit trail.

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Correct Answer: C, E, F

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 5.2 requires top management to establish an information security policy that provides the framework for setting information security objectives1.Clause 6.2 requires top management to ensure that the information security objectives are established at relevant functions and levels1. Therefore, when verifying that the information security policy and objectives have been established by top management, an ISMS auditor should review relevant documents and records that demonstrate top management's involvement and commitment.

To verify that the mobile device policy and objectives are implemented and effective, an ISMS auditor should review relevant documents and records that demonstrate how the policy and objectives are communicated, monitored, measured, analyzed, and evaluated. The auditor should also sample and verify the implementation of the controls that are stated in the policy.

Three options for the audit trail that are relevant to verifying the mobile device policy and objectives are:

Review the internal audit report to make sure the IT department has been audited: This option is relevant because it can provide evidence of how the IT department, which is responsible for managing the mobile devices and their security, has been evaluated for its conformity and effectiveness in implementing the mobile device policy and objectives. The internal audit report can also reveal any nonconformities, corrective actions, or opportunities for improvement related to the mobile device policy and objectives.

Sampling some mobile devices from on-duty medical staff and validate the mobile device information with the asset register: This option is relevant because it can provide evidence of how the mobile devices that are used by the medical staff, who are involved in processing and storing residents' data, are registered in the asset register and have physical protection enabled. This can verify the implementation and effectiveness of two of the controls that are stated in the mobile device policy.

Review the asset register to make sure all company's mobile devices are registered: This option is relevant because it can provide evidence of how the company's mobile devices that are within the ISMS scope are identified and accounted for. This can verify the implementation and effectiveness of one of the controls that are stated in the mobile device policy.

The other options for the audit trail are not relevant to verifying the mobile device policy and objectives, as they are not related to the policy or objectives or their implementation or effectiveness. For example:

Interview the reception personnel to make sure all visitor and employee bags are checked before entering the nursing home: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding physical security or access control, but not specifically to mobile devices.

Review visitors' register book to make sure no visitor can have their personal mobile phone in the nursing home: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding information security awareness or compliance, but not specifically to mobile devices.

Interview the supplier of the devices to make sure they are aware of the ISMS policy: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to another policy or objective regarding information security within supplier relationships, but not specifically to mobile devices.

Interview top management to verify their involvement in establishing the information security policy and the information security objectives: This option is not relevant because it does not provide evidence of how the mobile device policy and objectives are implemented or effective. It may be related to verifying that the information security policy and objectives have been established by top management, but not specifically to mobile devices.


Question No. 4

Finnco, a subsidiary of a certification body, provided ISMS consultancy services to an organization. Considering this scenario, when can the certification body certify the organization?

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Correct Answer: B

A certification body cannot certify an organization if it has provided consultancy services to that organization. This situation presents a conflict of interest, as the certification body is required to maintain impartiality and objectivity. The ISO/IEC 17021-1 standard, which sets out requirements for bodies providing audit and certification of management systems, specifies that providing both services to the same client is incompatible.


Question No. 5

You are an ISMS auditor conducting a third-party surveillance audit of a telecom's provider. You are in the equipment staging room where network switches are pre-programmed before being despatched to clients. You note that recently there has been a significant increase in the number of switches failing their initial configuration test and being returned for reprogramming.

You ask the Chief Tester why and she says, 'It's a result of the recent ISMS upgrade'. Before the upgrade each technician had their own hard copy work instructions. Now, the eight members of my team have to share two laptops to access the clients' configuration instructions online. These delays put pressure on the technicians, resulting in more mistakes being made'.

Based solely on the information above, which clause of ISO/IEC 27001:2022 would be the most appropriate to raise a nonconformity against? Select one.

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Correct Answer: D