ISO-IEC-27001-Lead-Auditor Exam Dumps - PECB ISO 27001 Questions and Answers

This activity is permitted, provided that the certification body minimizes disturbance to the certification process, making option A the correct answer. ISO/IEC 17021-1, which governs certification bodies providing management system certification, explicitly allows certification bodies to evaluate the competence and performance of their auditors. This includes on-site witnessing of auditors during actual certification audits.

The purpose of such evaluations is to ensure auditor competence, consistency, and adherence to certification procedures. ISO/IEC 17021-1 requires certification bodies to maintain confidence in their certification activities by monitoring and evaluating auditors in real audit situations. Conducting these evaluations on-site is a common and accepted practice, especially for initial competence assessments or periodic performance reviews.

However, the certification body must ensure that the evaluation does not interfere with the audit objectives or disrupt the client’s operations. Option B is incorrect because there is no requirement or justification for suspending the client’s business activities. Certification audits are designed to be conducted alongside normal operations whenever possible. Option C is incorrect because while remote evaluations may be used in some circumstances, the standard does not prohibit on-site evaluations.

Therefore, an on-site evaluation of an auditor during a certification audit is permitted, provided that it is carefully managed and does not disrupt the certification process or the auditee’s normal operations.

A management system audit is a systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled. The audit criteria are a set of requirements that may include policies, procedures, standards, regulations, etc. The purpose of a management system audit is to evaluate the performance of an organisation’s management system in terms of its effectiveness, efficiency, compliance, and improvement. A management system audit can also identify strengths, weaknesses, opportunities, and risks of the management system and provide recommendations for improvement.

Corrective action is a process of identifying and eliminating the root causes of nonconformities or incidents that have occurred or could potentially occur, in order to prevent their recurrence or occurrence. Corrective action is part of the improvement requirement of ISO 27001 and follows a standard workflow of identification, evaluation, implementation, review and documentation of corrections and corrective actions. References: Procedure for Corrective Action, Nonconformity & Corrective Action For ISO 27001 Requirement 10.1, PECB Candidate Handbook ISO 27001 Lead Auditor (page 12)

Comprehensive and Detailed In-Depth Explanation:

ISO/IEC 27001 does not prescribe a specific risk assessment methodology but instead provides general requirements for risk assessment. Organizations are free to develop their own risk assessment methods, as long as they:

Identify risks and impacts on information security.

Define risk criteria for evaluating risks.

Implement risk treatment plans based on the organization's context.

A. Correct Answer:

ISO/IEC 27001 Clause 6.1.2 (Information Security Risk Assessment) states that organizations may define their own risk assessment methodology.

This approach must be systematic, measurable, and aligned with business objectives.

B. Incorrect:

Organizations are not required to use a recognized methodology like OCTAVE, MEHARI, or EBIOS, as long as their approach meets ISO requirements.

C. Incorrect:

ISO/IEC 27001 does not mandate a specific risk assessment method, only that a consistent and structured approach is used.

Relevant Standard Reference:

ISO/IEC 27001:2022 Clause 6.1.2 (Information Security Risk Assessment Process)

A threat in information security is any circumstance or event with the potential to cause harm to an information system through unauthorized access, destruction, disclosure, modification of data, and/or denial of service. The situation where hackers compromise an administrator’s account by cracking the password represents a direct threat to the security of the information system. References: = This explanation is based on general information security principles and the typical content covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs. It aligns with the knowledge expected of a professional with an ISO/IEC 27001 Lead Auditor certification

The following four statements are true according to ISO/IEC 27001’s risk management requirements: 12

The results of risk assessments must be maintained. This is true because clause 8.2.3 of ISO/IEC 27001:2022 requires the organisation to retain documented information of the information security risk assessment process and the results12

ISO/IEC 27001 provides an outline approach for the management of risk. This is true because clause 6.1.2 of ISO/IEC 27001:2022 specifies the general steps for the information security risk management process, which include establishing the risk criteria, assessing the risks, treating the risks, and monitoring and reviewing the risks12

The organisation must produce a risk treatment plan for every business risk identified. This is true because clause 6.1.3 of ISO/IEC 27001:2022 requires the organisation to produce a risk treatment plan that defines the actions to be taken to address the unacceptable risks, the responsibilities, the expected dates, and the resources required12

Risk assessments should be undertaken following significant changes. This is true because clause 8.2.4 of ISO/IEC 27001:2022 requires the organisation to review and update the risk assessment at planned intervals or when significant changes occur12

The following four statements are false according to ISO/IEC 27001’s risk management requirements:

Risk identification is used to determine the severity of an information security risk. This is false because risk identification is used to identify the assets, threats, vulnerabilities, and existing controls that are relevant to the information security risk management process. The severity of an information security risk is determined by the risk analysis, which evaluates the likelihood and impact of the risk scenarios12

The organisation must operate a risk treatment process to eliminate its information security risks. This is false because the organisation can choose from four options to treat its information security risks: avoid, transfer, mitigate, or accept. The organisation does not have to eliminate all its information security risks, but only those that are unacceptable according to its risk criteria12

The initial phase in an organisation’s risk management process should be information security risk assessment. This is false because the initial phase in an organisation’s risk management process should be establishing the risk management framework, which includes defining the risk management policy, objectives, scope, roles, responsibilities, and criteria. The information security risk assessment is the second phase in the risk management process12

Risks assessments should be undertaken at monthly intervals. This is false because there is no fixed frequency for conducting risk assessments in ISO/IEC 27001. The organisation should determine the appropriate intervals for reviewing and updating the risk assessment based on its risk appetite, risk profile, and operational context12

Third-party accredited certification of information security management systems to ISO/IEC 27001:2022 provides assurance to organisations and interested parties that the organisation’s management system is maintained and effective, meaning that it conforms to the requirements of the standard, meets the organisation’s objectives and policies, and addresses the risks and opportunities related to information security. Third-party accredited certification also demonstrates that the organisation’s management system adopted a systematic approach to information security, meaning that it follows the Plan-Do-Check-Act (PDCA) cycle, applies the risk-based thinking principle, and considers the context and needs of the organisation and its stakeholders

Comprehensive and Detailed In-Depth Explanation:

C. Correct Answer:

Professional skepticism involves challenging evidence, verifying claims, and avoiding assumptions.

The auditors critically assessed the validity of evidence, ensuring claims made by Techvology were backed by concrete proof.

A. Incorrect:

Risk-based auditing prioritizes high-risk areas, but the paragraph focuses on verifying claims and evidence.

B. Incorrect:

Fair presentation ensures accurate reporting of findings, but the paragraph focuses on questioning evidence, not reporting.

Relevant Standard Reference:

ISO 19011:2018 Clause 4 (Principles of Auditing: Professional Skepticism)

Comprehensive and Detailed In-Depth Explanation:

A. Preventive Control – Correct Answer. Access control software is designed to prevent unauthorized access by enforcing authentication and authorization mechanisms. This aligns with ISO/IEC 27001:2022 Annex A Control A.5.18 (Access Rights).

B. Detective controls identify and log unauthorized access attempts, but do not prevent them.

C. Corrective controls take action after a security event has occurred.

Integrity is one of the basic components of information security, along with confidentiality and availability. Integrity means that information is safeguarded from unauthorized or accidental changes that could affect its accuracy and completeness. Integrity ensures that information is reliable and trustworthy3. References: ISO/IEC 27001:2022 Lead Auditor Training Course - BSI