PECB ISO-IEC-27001-Lead-Auditor Study & Exam Dumps 2025

PECB Certified ISO/IEC 27001 2022 Lead Auditor exam Questions and Answers

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Question 1

During an opening meeting of a Stage 2 audit, the Managing Director of the client organisation invites the audit team to view a new organisation video lasting 45 minutes.

Which two of the following responses should the audit team leader make?

Options:

State that the audit team leader will stay behind after the opening meeting to view the video on behalf of the team

Advise the Managing Director that the audit team agrees to his request

Advise the Managing Director that the audit team has to keep to the planned schedule

Invite the Managing Director to the auditors' hotel for a viewing that evening.

Suggest that the last five minutes of the video could be viewed to provide a flavour of its content

Suggest that the video could be viewed during a refreshment break

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Answer:

C, F

Explanation:

From Exact Extract:

Explanation for C (Correct Response):

The audit team leader's primary responsibility is to manage the audit process effectively and efficiently according to the agreed-upon audit plan and schedule. A Stage 2 audit schedule is typically tightly managed to ensure all required elements of the management system are sampled within the allocated time. A 45-minute video presentation is a significant time commitment that would disrupt the planned audit activities. Politely but firmly stating the need to adhere to the schedule is professional and critical for maintaining audit integrity and achieving the audit objectives.

[Reference:, ISO/IEC 17021-1:2015, Clause 9.1.5 "Establishing the audit plan": This clause emphasizes that "The audit plan shall be designed to achieve the objectives of the audit... and effectively use the available audit time." Deviating for a 45-minute video directly contradicts effective time use., ISO 19011:2018, Clause 6.4.2 "Conducting the opening meeting": While the opening meeting covers introductions and confirming the audit plan, it does not include extensive presentations unrelated to the audit. The audit team leader is expected to manage the meeting effectively., General Auditing Principle of Time Management: Auditors are bound by the agreed-upon audit duration. Unplanned lengthy activities compromise the ability to complete the audit scope., Explanation for F (Correct Response - as a polite alternative/compromise):, While watching the full 45-minute video is not feasible, suggesting it be viewed during a refreshment break is a diplomatic way of indicating that audit time cannot be used for this purpose. Refreshment breaks are informal and typically short; this suggestion subtly implies that only a very brief, informal viewing might be possible (or that the video's length makes it unsuitable even for a break), reinforcing that core audit activities take precedence. It's a polite refusal of the main request while showing a slight willingness to accommodate if feasible, without compromising the audit schedule., , Reference:, ISO 19011:2018, Clause 6.4.8 "Conducting audit activities": This clause emphasizes that audit activities should be focused on collecting objective evidence relevant to the audit criteria. Viewing a general organizational video is generally not an audit activity., Professional Conduct: An audit team leader should be professional and polite, seeking to maintain good client relations while ensuring audit objectives are met. This option balances politeness with adherence to audit principles., Explanation for A (Incorrect Response):, It is not appropriate for the audit team leader to stay behind after the meeting to view the video. This implies the video is a necessary part of the audit, which it isn't. More importantly, it uses the auditor's time inefficiently and could impact subsequent audit activities or the auditor's personal time. The entire team does not need to view general promotional material., Explanation for B (Incorrect Response):, Agreeing to watch a 45-minute video would significantly disrupt the pre-planned Stage 2 audit schedule. This would be a failure in audit planning and time management, potentially preventing the team from completing the necessary audit activities and gathering sufficient evidence for certification., , Reference:, ISO/IEC 17021-1:2015, Clause 9.1.5 "Establishing the audit plan": Directly contradicts the principle of effective time use., Explanation for D (Incorrect Response):, Inviting the Managing Director to the auditors' hotel is highly unprofessional and inappropriate. Auditor-client interactions should remain professional and generally occur on the client's premises during business hours related to the audit. This blurs professional boundaries and is outside the scope of acceptable auditor conduct., , Reference:, ISO 19011:2018, Clause 5 "Principles of auditing" (Ethical Conduct): Maintaining professionalism and appropriate boundaries is a core ethical principle for auditors., Explanation for E (Incorrect Response - less ideal than C or F):, While this might seem like a compromise, suggesting to watch only the last five minutes still consumes audit time (even if brief) and can set an expectation for other non-audit-related requests. It's generally better to politely decline outright due to schedule constraints (as in C) or offer a less formal, non-audit-time option (as in F). It still risks implying that this type of material is relevant to the audit., , , , ]

Question 2

You are conducting an ISMS audit in the despatch department of an international logistics organisation that provides shipping services to large organisations including local hospitals and government offices. Parcels typically contain pharmaceutical products, biological samples, and documents such as passports and driving licences. You note that the company records show a very large number of returned items with causes including mis-addressed labels and, in 15% of company cases, two or more labels for different addresses for the one package. You are interviewing the Shipping Manager (SM).

You: Are items checked before being dispatched?

SH: Any obviously damaged items are removed by the duty staff before being dispatched, but the small profit margin makes it uneconomic to implement a formal checking process.

You: What action is taken when items are returned?

SM: Most of these contracts are relatively low value, therefore it has been decided that it is easier and more convenient to simply reprint the label and re-send individual parcels than it is to implement an investigation.

You raise a nonconformity. Referencing the scenario, which six of the following Appendix A controls would you expect the auditee to have implemented when you conduct the follow-up audit?

Options:

5.11 Return of assets

8.12 Data leakage protection

5.3 Segregation of duties

6.3 Information security awareness, education, and training

7.10 Storage media

8.3 Information access restriction

5.6 Contact with special interest groups

Answer:

B, D, E, F, I, J

Explanation:

B. 8.12 Data leakage protection. This is true because the auditee should have implemented measures to prevent unauthorized disclosure of sensitive information, such as personal data, medical records, or official documents, that are contained in the parcels. Data leakage protection could include encryption, authentication, access control, logging, and monitoring of data transfers12.

D. 6.3 Information security awareness, education, and training. This is true because the auditee should have ensured that all employees and contractors involved in the shipping process are aware of the information security policies and procedures, and have received appropriate training on how to handle and protect the information assets in their custody. Information security awareness, education, and training could include induction programmes, periodic refreshers, awareness campaigns, e-learning modules, and feedback mechanisms13.

E. 7.10 Storage media. This is true because the auditee should have implemented controls to protect the storage media that contain information assets from unauthorized access, misuse, theft, loss, or damage. Storage media could include paper documents, optical disks, magnetic tapes, flash drives, or hard disks14. Storage media controls could include physical locks, encryption, backup, disposal, or destruction14.

F. 8.3 Information access restriction. This is true because the auditee should have implemented controls to restrict access to information assets based on the principle of least privilege and the need-to-know basis. Information access restriction could include identification, authentication, authorization, accountability, and auditability of users and systems that access information assets15.

I. 7.4 Physical security monitoring. This is true because the auditee should have implemented controls to monitor the physical security of the premises where information assets are stored or processed. Physical security monitoring could include CCTV cameras, alarms, sensors, guards, or patrols16. Physical security monitoring could help detect and deter unauthorized physical access or intrusion attempts16.

J. 5.13 Labelling of information. This is true because the auditee should have implemented controls to label information assets according to their classification level and handling instructions. Labelling of information could include markings, tags, stamps, stickers, or barcodes1 . Labelling of information could help identify and protect information assets from unauthorized disclosure or misuse1 .

References :=

ISO/IEC 27002:2022 Information technology — Security techniques — Code of practice for information security controls

ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements

ISO/IEC 27003:2022 Information technology — Security techniques — Information security management systems — Guidance

ISO/IEC 27004:2022 Information technology — Security techniques — Information security management systems — Monitoring measurement analysis and evaluation

ISO/IEC 27005:2022 Information technology — Security techniques — Information security risk management

ISO/IEC 27006:2022 Information technology — Security techniques — Requirements for bodies providing audit and certification of information security management systems

[ISO/IEC 27007:2022 Information technology — Security techniques — Guidelines for information security management systems auditing]

Question 3

Select the words that best complete the sentence:

To complete the sentence with the word(s) click on the blank section you want to complete so that it is highlighted in red, and then click on the application text from the options below. Alternatively, you may drag and drop the option to the appropriate blank section.