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

SectionWeightObjectives
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
          Requirements of ISO/IEC 27001:202230%- Leadership and planning
          • 1. Information security objectives and risk treatment planning
            • 2. Management commitment and policy establishment
              - Support, operation, performance evaluation and improvement
              • 1. Resource management and competence
                • 2. Corrective action and continual improvement
                  • 3. Internal audit and management review
                    - General requirements and ISMS scope definition
                    • 1. Determining ISMS boundaries and applicability
                      • 2. Understanding the organization and its context
                        Auditing Principles and Practices30%- Audit reporting and follow-up
                        • 1. Corrective action verification and closure
                          • 2. Structure and content of audit report
                            - Audit preparation and planning
                            • 1. Defining audit scope, criteria and methodology
                              • 2. Development of audit plan and checklist
                                - Audit execution
                                • 1. Conducting interviews and document reviews
                                  • 2. Collecting and verifying audit evidence
                                    • 3. Identifying nonconformities and opportunities for improvement
                                      - Audit concepts and principles
                                      • 1. Audit types and objectives
                                        • 2. Independence, objectivity and evidence-based approach
                                          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. Confidentiality, integrity, availability
                                                • 2. Risk management fundamentals

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                                                  PECB Certified ISO/IEC 27001 Lead Auditor exam Sample Questions (Q379-Q384):

                                                  NEW QUESTION # 379

                                                  Answer:

                                                  Explanation:

                                                  Explanation
                                                  An audit finding is the result of the evaluation of the collected audit evidence against audit criteria.


                                                  NEW QUESTION # 380
                                                  Which of the following does an Asset Register contain? (Choose two)

                                                  Answer: B,D

                                                  Explanation:
                                                  An asset register is a document that contains information about the assets associated with information and information processing facilities within the scope of the information security management system. An asset register should include, among other things, the asset type and the asset owner. The asset type is a category or classification of the asset, such as hardware, software, data, document, service, etc. The asset owner is a person or entity that has been assigned the responsibility for managing and protecting the asset throughout its lifecycle. The asset type and the asset owner are important information for identifying and controlling the assets, as well as for performing risk assessments and applying security controls. ISO/IEC 27001:2022 requires the organization to maintain an inventory of assets within the scope of the information security management system (see clause A.8.1.1). 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 an Asset Register?


                                                  NEW QUESTION # 381
                                                  Select two options that describe an advantage of using a checklist.

                                                  Answer: B,F

                                                  Explanation:
                                                  Explanation
                                                  A checklist is a tool that helps auditors to collect and verify information relevant to the audit objectives and scope. It can provide the following advantages:
                                                  * Ensuring relevant audit trails are followed: A checklist can help auditors to identify and trace the sources of evidence that support the conformity or nonconformity of the audited criteria. It can also help auditors to avoid missing or overlooking any important aspects of the audit.
                                                  * Ensuring the audit plan is implemented: A checklist can help auditors to follow and fulfil the audit plan, which describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. It can also help auditors to manage their time and resources effectively and efficiently.
                                                  The other options are not advantages of using a checklist, but rather:
                                                  * Using the same checklist for every audit without review: This is a disadvantage of using a checklist, as it can lead to a rigid and ineffective audit approach. A checklist should be tailored and adapted to each specific audit, taking into account the context, risks, and changes of the auditee and the audit criteria. A checklist should also be reviewed and updated periodically to ensure its validity and relevance.
                                                  * Restricting interviews to nominated parties: This is a disadvantage of using a checklist, as it can limit the scope and depth of the audit. A checklist should not prevent auditors from interviewing other relevant parties or sources of information that may provide valuable evidence or insights for the audit. A
                                                  * checklist should be used as a guide, not as a constraint.
                                                  * Reducing audit duration: This is not necessarily an advantage of using a checklist, as it depends on various factors, such as the complexity, size, and maturity of the auditee's ISMS, the availability and quality of evidence, the competence and experience of the auditors, and the level of cooperation and communication between the auditors and the auditee. A checklist may help reduce audit duration by improving efficiency and organization, but it may also increase audit duration by requiring more evidence or verification.
                                                  * Not varying from the checklist when necessary: This is a disadvantage of using a checklist, as it can result in a superficial or incomplete audit. A checklist should not prevent auditors from exploring or investigating any issues or concerns that arise during the audit, even if they are not included in the checklist. A checklist should be used as a support, not as a substitute.
                                                  References:
                                                  * ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB
                                                  * ISO 19011:2018 Guidelines for auditing management systems [Section 6.2.2]


                                                  NEW QUESTION # 382
                                                  Select the words that best complete the sentence:

                                                  Answer:

                                                  Explanation:

                                                  Explanation:
                                                  A third-party audit is an independent assessment of an organisation's management system by an external auditor, who is not affiliated with the organisation or its customers. The auditor verifies that the management system meets the requirements of a specific standard, such as ISO 27001, and evaluates its effectiveness and performance. The auditor also identifies any strengths, weaknesses, opportunities, or risks of the management system, and provides recommendations for improvement. The purpose of a third-party audit is to provide an objective and impartial evaluation of the organisation's management system, and to inform a certification decision by a certification body. A certification body is an organisation that grants a certificate of conformity to the organisation, after reviewing the audit report and evidence, and confirming that the management system meets the certification criteria. A certification decision is the outcome of the certification process, which can be positive (granting, maintaining, renewing, or expanding the scope of certification) or negative (suspending, withdrawing, or reducing the scope of certification). References:
                                                  PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-25
                                                  ISO 19011:2018 - Guidelines for auditing management systems
                                                  The ISO 27001 audit process | ISMS.online


                                                  NEW QUESTION # 383
                                                  Question
                                                  An auditor is reviewing a company's financial transactions over the past year. They are using a technology that helps them detect unusual spending behaviors, such as repeated transactions just below the approval threshold, which could indicate fraudulent activity.
                                                  What technology is the auditor using in this case?

                                                  Answer: A

                                                  Explanation:
                                                  Explanation (Audit & analytics perspective)
                                                  * Data mining focuses on discovering patterns, anomalies, and relationships in historical datasets.
                                                  * Identifying repeated transactions just below approval thresholds is a classic data mining technique.
                                                  * Predictive analytics focuses on forecasting future outcomes, not detecting historical anomalies.
                                                  Data management is concerned with storage and governance, not analysis.


                                                  NEW QUESTION # 384
                                                  ......

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