ISO 27001 ISO-IEC-27001-Lead-Auditor Release Date

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

Question 89

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

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 90

Scenario 5: Data Grid Inc. is a well-known company that delivers security services across the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their networks through advanced products and services. Having achieved reputation in the information and network security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and customer assets and gain competitive advantage.

Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The audit team followed a risk-based auditing approach.

To gain an overview of the main business processes and controls, the audit team accessed process descriptions and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk that a significant defect could occur to Data Grid Inc.'s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by asking the representatives of Data Grid Inc. the following questions:

•How are responsibilities for IT and IT controls defined and assigned?

•How does Data Grid Inc. assess whether the controls have achieved the desired results?

•What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious software?

•Are firewall-related controls implemented?

Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.

The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management. Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised between Data Grid Inc. and the certification body in regards to audit objectives. Data Grid Inc. stated that even though the audit objectives included the identification of areas for potential improvement, the audit team did not provide such information.

Based on this scenario, answer the following question:

Data Grid Inc. is responsible for all the actions below, EXCEPT:

Options:

Specifying the audit criteria

Appointing the audit team

Defining the audit scope

Question 91

Information Security is a matter of building and maintaining ________ .

Options:

Confidentiality

Trust

Protection

Firewalls

Question 92

All are prohibited in acceptable use of information assets, except:

Options:

Electronic chain letters

E-mail copies to non-essential readers

Company-wide e-mails with supervisor/TL permission.

Messages with very large attachments or to a large number ofrecipients.

Answer:

Explanation:

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). References: 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?

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ISO 27001 ISO-IEC-27001-Lead-Auditor Release Date

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

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