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PECB ISO-IEC-27001-Lead-Auditor Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Information Security Controls (ISO/IEC 27002:2022)25%- Control categories and implementation guidance
  • 1. Organizational controls
    • 2. People controls
      • 3. Physical controls
        • 4. Technological controls
          Topic 2: Fundamental Concepts of Information Security15%- Overview of ISO/IEC 27000 family of standards
          • 1. Relationship between ISO/IEC 27001 and other standards
            • 2. Structure and scope of ISO/IEC 27000 series
              - Information security principles and definitions
              • 1. Risk management fundamentals
                • 2. Confidentiality, integrity, availability
                  Topic 3: Requirements of ISO/IEC 27001:202230%- Support, operation, performance evaluation and improvement
                  • 1. Resource management and competence
                    • 2. Internal audit and management review
                      • 3. Corrective action and continual improvement
                        - Leadership and planning
                        • 1. Information security objectives and risk treatment planning
                          • 2. Management commitment and policy establishment
                            - General requirements and ISMS scope definition
                            • 1. Determining ISMS boundaries and applicability
                              • 2. Understanding the organization and its context
                                Topic 4: Auditing Principles and Practices30%- Audit execution
                                • 1. Identifying nonconformities and opportunities for improvement
                                  • 2. Conducting interviews and document reviews
                                    • 3. Collecting and verifying audit evidence
                                      - Audit concepts and principles
                                      • 1. Independence, objectivity and evidence-based approach
                                        • 2. Audit types and objectives
                                          - Audit preparation and planning
                                          • 1. Development of audit plan and checklist
                                            • 2. Defining audit scope, criteria and methodology
                                              - Audit reporting and follow-up
                                              • 1. Structure and content of audit report
                                                • 2. Corrective action verification and closure

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                                                  PECB Certified ISO/IEC 27001 Lead Auditor exam Sample Questions (Q49-Q54):

                                                  NEW QUESTION # 49
                                                  Who are allowed to access highly confidential files?

                                                  Answer: D

                                                  Explanation:
                                                  According to ISO/IEC 27001:2022, clause 8.2.1, the organization shall ensure that access to information and information processing facilities is limited to authorized users based on the access control policy and in accordance with the business requirements of access control2. Therefore, only employees with a business need-to-know are allowed to access highly confidential files, and not contractors, non-employees or employees with signed NDA. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA


                                                  NEW QUESTION # 50
                                                  Select a word from the following options that best completes 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.

                                                  Answer:

                                                  Explanation:

                                                  Explanation

                                                  The purpose of a management system audit is to evaluate the performance of an organization's management system.
                                                  A management system audit is an independent and systematic analysis and evaluation of a company's overall activities and performances1. It is a valuable tool used to determine the efficiency, functions, accomplishments and achievements of the company1. A management system audit can be conducted against a range of audit criteria, including (but not limited to) requirements set of in existing ISO standards2.
                                                  According to ISO 19011:2018, which provides guidelines for auditing management systems, the purpose of an audit is to enable the auditor to provide an audit conclusion that is related to the audit objectives2. The audit objectives are defined by the audit client and may include determining the extent of conformity or nonconformity of the audited management system against the audit criteria, evaluating the ability of the audited management system to ensure that the organization meets applicable statutory, regulatory and contractual requirements, identifying potential improvement opportunities for the audited management system, and facilitating continual improvement of the audited management system2.
                                                  Therefore, the correct answer is evaluate, as it best describes the purpose of a management system audit. The other options are not correct because they are not specific enough or do not reflect the intended outcome of an audit. For example, improve implies that the audit itself will enhance the performance of the management system, which is not necessarily true. Manage implies that the audit will control or direct the management system, which is not its role. Research implies that the audit will generate new knowledge or information about the management system, which is not its primary aim.


                                                  NEW QUESTION # 51
                                                  In acceptable use of Information Assets, which is the best practice?

                                                  Answer: A

                                                  Explanation:
                                                  The best practice in acceptable use of information assets is A: access to information and communication systems are provided for business purpose only. This means that the organization grants access to its information and communication systems only to authorized users who need to use them for legitimate and approved business activities. The organization does not allow or tolerate any unauthorized, inappropriate or personal use of its information and communication systems, as this could compromise information security, violate policies or laws, or cause damage or harm to the organization or its stakeholders. The other options are not best practices in acceptable use of information assets, as they could violate information security policies and procedures, as well as ethical or legal standards. Interfering with or denying service to any user other than the employee's host (B) is a malicious act that could disrupt the availability or performance of the information systems or services of another user or organization. Playing any computer games during office hours is a personal and unprofessional use of the information and communication systems that could distract the employee from their work duties, waste resources and bandwidth, or expose the systems to malware or other risks. Accessing phone or network transmissions, including wireless or wifi transmissions (D) is a potential breach of confidentiality or privacy that could intercept, monitor or modify the information transmitted by another user or organization without their consent or authorization. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3). Reference: 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?


                                                  NEW QUESTION # 52
                                                  Please match the roles to the following descriptions:

                                                  To complete the table click on the blank section you want to complete so that it is highlighted in red, and then click on the applicable test from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.

                                                  Answer:

                                                  Explanation:

                                                  Explanation:

                                                  * The auditee is the organization or part of it that is subject to the audit. The auditee could be internal or external to the audit client . The auditee should cooperate with the audit team and provide them with access to relevant information, documents, records, personnel, and facilities .
                                                  * The audit client is the organization or person that requests an audit. The audit client could be internal or external to the auditee . The audit client should define the audit objectives, scope, criteria, and programme, and appoint the audit team leader .
                                                  * The technical expert is a person who provides specific knowledge or expertise relating to the organization, activity, process, product, service, or discipline to be audited. The technical expert could be internal or external to the audit team . The technical expert should support the audit team in collecting and evaluating audit evidence, but should not act as an auditor .
                                                  * The observer is a person who accompanies the audit team but does not act as an auditor. The observer could be internal or external to the audit team . The observer should observe the audit activities without interfering or influencing them, unless agreed otherwise by the audit team leader and the auditee .
                                                  References :=
                                                  * [ISO 19011:2022 Guidelines for auditing management systems]
                                                  * [ISO/IEC 17021-1:2022 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements]


                                                  NEW QUESTION # 53
                                                  You are an ISMS audit team leader tasked with conducting a follow-up audit at a client's data centre.
                                                  Following two days on-site you conclude that of the original 12 minor and 1 major nonconformities that prompted the follow-up audit, only 1 minor nonconformity still remains outstanding.
                                                  Select four options for the actions you could take.

                                                  Answer: A,D,F,G

                                                  Explanation:
                                                  Explanation
                                                  According to ISO 19011:2018, which provides guidelines for auditing management systems, clause 6.7 requires the audit team leader to conduct a follow-up audit to verify the implementation and effectiveness of the corrective actions taken by the auditee in response to the nonconformities identified during a previous audit1. The follow-up audit should be conducted in accordance with the same principles and processes as the initial audit, and should result in a conclusion on the status of the nonconformities and any remaining issues1.
                                                  Therefore, when conducting a follow-up audit, an ISMS auditor should consider the following actions:
                                                  * Recommend that the outstanding minor nonconformity is dealt with at the next surveillance audit: This action is appropriate because it reflects the fact that the auditee has cleared most of the nonconformities, including the major one, and only one minor nonconformity remains outstanding. A minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its overall effectiveness or conformity2. Therefore, this finding does not prevent or preclude the continuation of certification, as long as it is addressed by appropriate corrective actions within a reasonable time frame. The auditor should recommend that the outstanding minor nonconformity is dealt with at the next surveillance audit, which is a regular audit conducted by the certification body to confirm the ongoing conformity and effectiveness of an ISMS3.
                                                  * Agree with the auditee/audit client how the remaining nonconformity will be cleared, by when, and how its clearance will be verified: This action is appropriate because it reflects the fact that the auditee has demonstrated commitment and capability to implement corrective actions for the nonconformities identified during the previous audit. The auditor should agree with the auditee/audit client on a realistic, achievable, and effective corrective action plan for the remaining nonconformity, including a clear deadline and verification method. The auditor should also document this agreement in the follow-up audit report1.
                                                  * Advise the individual managing the audit programme of any decision taken regarding the outstanding
                                                  * nonconformity: This action is appropriate because it reflects the fact that the auditor has followed a systematic and consistent approach to conducting and reporting the follow-up audit. The auditor should advise the individual managing the audit programme of any decision taken regarding the outstanding nonconformity, such as recommending its closure at the next surveillance audit or agreeing on a corrective action plan with the auditee/audit client. The auditor should also provide sufficient information and evidence to support their decision1.
                                                  * Close the follow-up audit as the organisation has demonstrated it is committed to clearing the nonconformities raised: This action is appropriate because it reflects the fact that the organisation has achieved satisfactory results in the follow-up audit. The auditor should close the follow-up audit as the organisation has demonstrated it is committed to clearing the nonconformities raised by implementing effective corrective actions for most of them and agreeing on a plan for the remaining one. The auditor should also communicate the follow-up audit conclusion to the auditee/audit client and other relevant parties1.


                                                  NEW QUESTION # 54
                                                  ......

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