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

The questions for ISO-IEC-27001-Lead-Auditor were last updated On Feb 19, 2025

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Question No. 1

Scenario 3: Rebuildy is a construction company located in Bangkok.. Thailand, that specializes in designing, building, and maintaining residential buildings. To ensure the security of sensitive project data and client information, Rebuildy decided to implement an ISMS based on ISO/IEC 27001. This included a comprehensive understanding of information security risks, a defined continual improvement approach, and robust business solutions.

The ISMS implementation outcomes are presented below

* Information security is achieved by applying a set of security controls and establishing policies, processes, and procedures.

* Security controls are implemented based on risk assessment and aim to eliminate or reduce risks to an acceptable level.

* All processes ensure the continual improvement of the ISMS based on the plan-do-check-act (PDCA) model.

* The information security policy is part of a security manual drafted based on best security practices Therefore, it is not a stand-alone document.

* Information security roles and responsibilities have been clearly stated in every employees job description

* Management reviews of the ISMS are conducted at planned intervals.

Rebuildy applied for certification after two midterm management reviews and one annual internal audit Before the certification audit one of Rebuildy's former employees approached one of the audit team members to tell them that Rebuildy has several security problems that the company is trying to conceal. The former employee presented the documented evidence to the audit team member Electra, a key client of Rebuildy, also submitted evidence on the same issues, and the auditor determined to retain this evidence instead of the former employee's. The audit team member remained in contact with Electra until the audit was completed, discussing the nonconformities found during the audit. Electra provided additional evidence to support these findings.

At the beginning of the audit, the audit team interviewed the company's top management They discussed, among other things, the top management's commitment to the ISMS implementation. The evidence obtained from these discussions was documented in written confirmation, which was used to determine Rebuildy's conformity to several clauses of ISO/IEC 27001

The documented evidence obtained from Electra was attached to the audit report, along with the nonconformities report. Among others, the following nonconformities were detected:

* An instance of improper user access control settings was detected within the company's financial reporting system.

* A stand-alone information security policy has not been established. Instead, the company uses a security manual drafted based on best security practices.

After receiving these documents from the audit team, the team leader met Rebuildy's top management to present the audit findings. The audit team reported the findings related to the financial reporting system and the lack of a stand-alone information security policy. The top management expressed dissatisfaction with the findings and suggested that the audit team leader's conduct was unprofessional, implying they might request a replacement. Under pressure, the audit team leader decided to cooperate with top management to downplay the significance of the detected nonconformities. Consequently, the audit team leader adjusted the report to present a more favorable view, thus misrepresenting the true extent of Rebuildy's compliance issues.

Based on the scenario above, answer the following question:

Which action described in Scenario 3 indicates that the audit team leader violated the independence principle?

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Correct Answer: A

Comprehensive and Detailed In-Depth

A . Correct Answer:

Independence is compromised when an auditor alters audit findings under pressure.

The audit team leader misrepresented compliance, violating ISO 19011's principles of objectivity and integrity.

B . Incorrect:

Including anonymous evidence in an audit report is acceptable as long as it is verified.

C . Incorrect:

While revealing confidential information would be unethical, it was not mentioned in the scenario.

Relevant Standard Reference:


Question No. 2

Which two of the following are examples of audit methods that 'do' involve human interaction?

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Question No. 3

Three auditors were assigned to conduct a certification audit in Company X. Before the audit commenced, the certification body provided the auditors' names and background information to Company X. Company X requested the replacement of one of the auditors because they are a former employee. Is this acceptable?

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Correct Answer: B

Comprehensive and Detailed In-Depth

B . Correct Answer:

ISO/IEC 17021-1 (Conformity assessment -- Requirements for bodies providing audit and certification of management systems) states that the auditee may request a replacement of an auditor only for valid reasons.

A former employee of the company serving as an auditor presents a potential conflict of interest (real or perceived).

Therefore, Company X's request is valid.

A . Incorrect:

While a conflict of interest is a valid reason, the replacement must be based on an objective, justified claim, and not just personal preference.

C . Incorrect:

Auditees can request an auditor's replacement, but only under justified circumstances.

Relevant Standard Reference:

ISO/IEC 17021-1:2015 Clause 9.1.3 (Impartiality and Objectivity of Auditors)


Question No. 4

Scenario 6: Sinvestment is an insurance company that offers home, commercial, and life insurance. The company was founded in North Carolina, but have recently expanded in other locations, including Europe and Africa.

Sinvestment is committed to complying with laws and regulations applicable to their industry and preventing any information security incident. They have implemented an ISMS based on ISO/IEC 27001 and have applied for ISO/IEC 27001 certification.

Two auditors were assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment. they started the audit activities. First, they reviewed the documentation required by the standard, including the declaration of the ISMS scope, information security policies, and internal audits reports. The review process was not easy because, although Sinvestment stated that they had a documentation procedure in place, not all documents had the same format.

Then, the audit team conducted several interviews with Sinvestment's top management to understand their role in the ISMS implementation. All activities of the stage 1 audit were performed remotely, except the review of documented information, which took place on-site, as requested by Sinvestment.

During this stage, the auditors found out that there was no documentation related to information security training and awareness program. When asked, Sinvestment's representatives stated that the company has provided information security training sessions to all employees. Stage 1 audit gave the audit team a general understanding of Sinvestment's operations and ISMS.

The stage 2 audit was conducted three weeks after stage 1 audit. The audit team observed that the marketing department (which was not included in the audit scope) had no procedures in place to control employees' access rights. Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the information security policy of the company, the issue was included in the audit report. In addition, during stage 2 audit, the audit team observed that Sinvestment did not record logs of user activities. The procedures of the company stated that "Logs recording user activities should be retained and regularly reviewed," yet the company did not present any evidence of the implementation of such procedure.

During all audit activities, the auditors used observation, interviews, documented information review, analysis, and technical verification to collect information and evidence. All the audit findings during stages 1 and 2 were analyzed and the audit team decided to issue a positive recommendation for certification.

According to ISO/IEC 27001 requirements, does the company need to provide evidence of implementation of the procedure regarding logs recording user activities? Refer to scenario 6.

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Correct Answer: A

Yes, according to ISO/IEC 27001, the company needs to provide evidence of the implementation of procedures regarding the logging of user activities. This requirement is essential to ensure that events are recorded and regularly reviewed, supporting the detection and prevention of security incidents.


Question No. 5

You are an experienced audit team leader guiding an auditor in training.

Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the PHYSICAL controls listed in the Statement of Applicability (SoA) and implemented at the site.

Select four controls from the following that would you expect the auditor in training to review.

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Correct Answer: A, B, F, G

The four controls from the list that are related to PHYSICAL aspects of the ISMS are:

* Access to and from the loading bay

* How power and data cables enter the building

* The operation of the site CCTV and door control systems

* The organisation's arrangements for maintaining equipment

These controls are derived from the ISO 27001 Annex A, which provides a comprehensive list of information security controls that can be applied to an ISMS1. The other controls in the list are more related to ORGANIZATIONAL, LEGAL, or HUMAN aspects of the ISMS, which are also important, but not the focus of this question.

According to the ISMS Auditing Guideline2, the auditor in training should review the PHYSICAL controls by:

* Checking the SoA to identify the applicable controls and their implementation status

* Interviewing the relevant staff and management to verify their understanding and involvement in the controls

* Observing the physical and environmental conditions to confirm the existence and effectiveness of the controls

* Examining the relevant documents and records to validate the compliance and performance of the controls

I hope this helps you prepare for the exam.