[Jan-2025] ISO-IEC-27001-Lead-Auditor PDF Dumps Extremely Quick Way Of Preparation [Q118-Q134]

NO.118 You are an experienced ISMS audit team leader. You are currently conducting a third-party surveillance audit of an international haulage organisation. You have sampled four internal audit reports which state:
Report 1 – Auditor: Mr James.
Over the year the organisation has failed to meet its promised delivery dates on 23 occasions out of 100. This is against a target of ‘95% of deliveries on time’.
Grading – Minor
Corrective Action due: Within 9 months.
Report 2 – Auditor: Mr James.
Between January and March, it was noted 125 complaints were received about the Service Desk Team. Clients accused them of being rude and unresponsive.
Grading – Minor
Corrective Action due: Within 12 months.
Report 3 – Auditor: Mr James.
Of the 40 customer orders received last month, 38 were correctly processed. Of the remaining 2, one was missing a signature and one was missing a date.
Grading –
Corrections due: Within 3 weeks
Report 4 – Auditor: Mr Rogers.
Of the 30 personnel records examined, 26 were found to be fully completed whilst the remaining 4 were all missing the individual’s start date.
Grading – Major
Corrections due: Within 1 week
Which four of the options demonstrate the concerns you would have about these reports?

I would be concerned as to whether criteria for grading nonconformities are in existence in this organisation

I would be concerned as to whether the auditors understand the difference between corrections and corrective actions

I would be concerned because action taken to address a major nonconformity should always be completed sooner than action taken to address minor nonconformities

I would be concerned that no grading is recorded for Report 3. This could indicate that the auditor did not complete the report correctly or that they failed to make a determination as to severity

I would be concerned that the auditors focussed only on information security processes

I would be concerned that timing for addressing the nonconformities is significantly different in the four reports

I would have a concern that no nonconformity review was conducted

I would have a concern that one auditor appeared to be conducting most of the internal audits

NO.119 You are an ISMS audit team leader preparing to chair a closing meeting following a third-party surveillance audit. You are drafting a closing meeting agenda setting out the topics you wish to discuss with your auditee.
Which one of the following would be appropriate for inclusion?

A detailed explanation of the certification body’s complaints process

An explanation of the audit plan and its purpose

A disclaimer that the result of the audit is based on the sampling of evidence

Names of auditees associated with nonconformities

This option is appropriate for inclusion in the closing meeting agenda, as it is a requirement of the ISO 19011 standard, which provides guidelines for auditing management systems, including ISMS12. The standard states that the audit team leader should advise the auditee of any situations encountered during the audit that may decrease the confidence that can be placed in the audit conclusions, such as limitations in the audit scope, access, or sampling3. The standard also states that the audit report should include a statement that the audit is based on a sample of the information available at the time of the audit, and that the audit does not provide absolute assurance of the conformity or effectiveness of the audited management system4. Therefore, the audit team leader should include a disclaimer in the closing meeting agenda to inform the auditee of the nature and limitations of the audit, and to avoid any misunderstandings or false expectations. The other options are not appropriate for inclusion in the closing meeting agenda, as they are either irrelevant, incorrect, or incomplete. For example:
*A detailed explanation of the certification body’s complaints process is not relevant for the closing meeting agenda, as it is not related to the audit findings or conclusions. The certification body’s complaints process should be communicated to the auditee before the audit, as part of the audit agreement or contract5.
*An explanation of the audit plan and its purpose is not correct for the closing meeting agenda, as it should have been done at the opening meeting or before the audit. The audit plan is a document that describes the scope, objectives, criteria, and methodology of the audit, as well as the audit schedule, the audit team, the audit locations, and the audit deliverables . The audit plan should be communicated and agreed with the auditee in advance, and any changes or deviations should be notified during the audit.
*Names of auditees associated with nonconformities are not complete for the closing meeting agenda, as they do not provide the details or the evidence of the nonconformities. The audit team leader should present the audit findings, which include the description, the audit criteria, and the audit evidence of each nonconformity, as well as the audit conclusions and the audit recommendation . The audit team leader should also avoid naming or blaming individuals, and focus on the processes and the system.
References: = 1: PECB Candidate Handbook – ISO/IEC 27001 Lead Auditor, page 222: ISO 19011:2018 Guidelines for auditing management systems, clause 13: ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.94: ISO 19011:2018 Guidelines for auditing management systems, clause
7.5.25: ISO/IEC 17021-1:2015 Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology – Security techniques – Guidelines for information security management systems auditing, clause 6.2.1. : ISO 19011:
2018 Guidelines for auditing management systems, clause 6.4.2. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.10. : ISO/IEC 27007:2011 Information technology – Security techniques – Guidelines for information security management systems auditing, clause 6.3.3.

NO.120 In the event of an Information security incident, system users’ roles and responsibilities are to be observed, except:

Report suspected or known incidents upon discovery through the Servicedesk

Preserve evidence if necessary

Cooperate with investigative personnel during investigation if needed

Make the information security incident details known to all employees

NO.121 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.

NO.122 Information Security is a matter of building and maintaining ________ .

Confidentiality

Trust

Protection

Firewalls

NO.123 Which one of the following options best describes the purpose of a Stage 2 audit?

To check for legal compliance by the organisation

To ensure that the audit plan is carried out

To evaluate the implementation of the management system

To get to know the organisation’s processes

NO.124 Which one of the following options is the definition of an interested party?

A third party can appeal to an organisation when it perceives itself to be affected by a decision or activity

A person or organisation that can affect, be affected by or perceive itself to be affected by a decision or activity

A group or organisation that can interfere in or perceive itself to be interfered with by a management decision

An individual or organisation that can control, be controlled by, or perceive itself to be controlled by a decision or activity

NO.125 You are an ISMS audit team leader assigned by your certification body to carry out a follow-up audit of a Data Centre client.
According to ISO 19011:2018, the purpose of a follow-up audit is to verify which one of the following?

The effectiveness of the management system

Implementation of ISMS objectives

Implementation of risk treatment plans

Completion and effectiveness of corrective actions

NO.126 You are performing an ISMS audit at a residential nursing home that provides healthcare services and are reviewing the Software Code Management (SCM) system. You found a total of 10 user accounts on the SCM.
You confirm that one of the users, Scott, resigned 9-months
ago. The SCM System Administrator confirmed Scott’s last check-out of the source code was found 1 month ago. He was using one of the uthorized desktops from the local network in a secure area.
You check with the user de-registration procedure which states “Managers have to make sure of deregistration of the user account and authorisation immediately from the relevant ICT system and/or equipment after resignation approval.” There was no deregistration record for user Scott.
The IT Security Manager explains that Scott still comes back to the office every month after he resigned to provide support on source code maintenance. That’s why his account on SCM still exists.
You would like to investigate other areas further to collect more audit evidence. Select three options that would not be valid audit trails.

Collect more evidence on how access controls are periodically reviewed to maintain security (Relevant to control A.5.35)

Collect more evidence on how the transition of Scott from full-time to part-time employment was managed (relevant to control A.6.5)

Collect more evidence from Scott’s background verification checks performed by the human resource department under the new employment relationship. (Relevant to control A.6.1)

Collect more evidence of why Scott resigned and whether his re-engagement represents a conflict of interest. (relevant to control A.5.3)

Collect more evidence on how Scott can access the employee’s desktop and local network. (Relevant to control A.5.15)

Collect more evidence on how Scott can access the secure area. (Relevant to control A.8.4)

Collect more evidence on how the organization pays for Scott’s source code maintenance support service. (Relevant to control A.6.2)

Collect more evidence on where Scott kept the source code that he checked out and how it was secured.
(Relevant to control A.8.4)

NO.127 Integrity of data means

Accuracy and completeness of the data

Data should be viewable at all times

Data should be accessed by only the right people

NO.128 Objectives, criteria, and scope are critical features of a third-party ISMS audit. Which two issues are audit objectives?

Evaluate customer processes and functions

Assess conformity with ISO/IEC 27001 requirements

Fulfil the audit plan

Confirm sites operating the ISMS

Determine the scope of the ISMS

Review organisation efficiency

Audit objectives are the specific purposes or goals that the customer or the certification body wants to achieve through the audit. They define what the audit intends to accomplish and provide the basis for planning and conducting the audit. Audit objectives may vary depending on the type, scope, and criteria of the audit, but they should be clear, measurable, and achievable.
Some examples of audit objectives for a third-party ISMS audit are:
* Assess conformity with ISO/IEC 27001 requirements: This objective means that the audit aims to verify that the organisation’s ISMS meets the requirements of the ISO/IEC 27001 standard, which specifies the best practices for establishing, implementing, maintaining, and improving an information security management system. The audit will evaluate the organisation’s ISMS documentation, processes, controls, and performance against the standard’s clauses and annex A controls.
* Confirm sites operating the ISMS: This objective means that the audit aims to confirm that the organisation’s ISMS covers all the relevant sites or locations where the organisation operates or provides its services. The audit will verify that the scope of the ISMS is accurate and consistent with the organisation’s context, objectives, and risks.
The other phrases are not audit objectives, but rather:
* Evaluate customer processes and functions: This is not an audit objective, but rather a possible audit criterion or a requirement that the organisation’s processes and functions should meet. The audit criterion is the reference against which the audit evidence is compared to determine conformity or nonconformity. The audit criterion may include ISO/IEC 27001 requirements, customer requirements, or other applicable standards or regulations.
* Fulfil the audit plan: This is not an audit objective, but rather a task or an activity that the auditor performs during the audit. The audit plan is a document that describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. The auditor should follow and fulfil the audit plan to ensure that the audit is conducted effectively and efficiently.
* Determine the scope of the ISMS: This is not an audit objective, but rather a prerequisite or an input for conducting the audit. The scope of the ISMS is the extent and boundaries of the information security management system within the organisation. It defines what processes, activities, locations, assets, and stakeholders are included or excluded from the ISMS. The scope of the ISMS should be determined by the organisation before applying for certification or undergoing an audit.
* Review organisation efficiency: This is not an audit objective, but rather a possible outcome or a result of conducting an audit. The organisation efficiency is a measure of how well the organisation uses its
* resources to achieve its goals and objectives. The audit may help review and improve the organisation efficiency by identifying strengths, weaknesses, opportunities, and threats in its information security management system.
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 5.3.1]

NO.129 Which two of the following statements are true?

The role of a certification body auditor involves evaluating the organisation’s processes for ensuring compliance with their legal requirements

Curing a third-party audit, the auditor evaluates how the organisation ensures that 4 6 made aware of changes to the legal requirements

As part of a certification body audit the auditor is resporable for verifying the organisation’s legal compliance status

NO.130 Which of the following is not a type of Information Security attack?

Legal Incidents

Vehicular Incidents

Technical Vulnerabilities

Privacy Incidents

NO.131 You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
The next step in your audit plan is to verify the information security of ABC’s healthcare mobile app development, support, and lifecycle process. During the audit, you learned the organisation outsourced the mobile app development to a professional software development organisation with CMMI Level 5, ITSM (ISO/IEC 20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certified.
The IT Manager presents the software security management procedure and summarises the process as follows:
The mobile app development shall adopt “security-by-design” and “security-by-default” principles, as a minimum. The following security functions for personal data protection shall be available:
Access control.
Personal data encryption, i.e., Advanced Encryption Standard (AES) algorithm, key lengths: 256 bits; and Personal data pseudonymization.
Vulnerability checked and no security backdoor
You sample the latest Mobile App Test report – Reference ID: 0098, details as follows:

You would like to investigate other areas further to collect more audit evidence. Select three options that will not be in your audit trail.

Collect more evidence on how much residents’ family members pay to install ABC’s healthcare mobile app. (Relevant to clause 4.2)

Collect more evidence by downloading and testing the mobile app on your phone. (Relevant to control A.8.1)

Collect more evidence to determine the number of users of ABC’s healthcare mobile app. (relevant to clause 4.2)

Collect more evidence on how the organisation performs testing of personal data handling. (Relevant to control A.5.34)

Collect more evidence on the organisation’s business continuity policy. (Relevant to control A.5.30)

Collect more evidence on how the organisation manages information security in the selection of an external service provider. (Relevant to control A.5.19)

Collect more evidence on how the developer trains its product support personnel. (Relevant to clause 7.2)

Collect more evidence to verify the developer’s CMMI Level 5, ITSM (ISO/IEC 20000-1), BCMS (ISO22301) and ISMS (ISO/IEC 27001) certification. (Relevant to control A.5.21)

NO.132 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.

NO.133 Select the word that best completes the sentence:

NO.134 You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
You find all nursing home residents wear an electronic wristband for monitoring their location, heartbeat, and blood pressure always. You learned that he electronic wristband automatically uploads all data to the artificial intelligence (AI) cloud server for healthcare monitoring and analysis by healthcare staff.
To verify the scope of ISMS, you interview the management system representative (MSR) who explains that the ISMS scope covers an outsourced data center.
Select four options for the clauses and/or controls of ISO/IEC 27001:2022 that are directly relevant to the verification of the scope of the ISMS.

Control 5.3 Organizational roles, responsibilites and authorities

Clause 4.2 Understanding the needs and expectations of interested parties

Control 5.3 Legal, statutory, regulatory and contractual requirements

Control 6.3 Information security awareness, education, and training

Clause 5.2 Policy

Clause 4.1 Understanding the organization and its context

Control 7.6 Working in secure areas

Clause 4.3 Determining the scope of the information security management system

Explanation
B: This clause requires the organisation to determine the interested parties that are relevant to the ISMS, and the requirements of these interested parties12. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to identify the stakeholders that have an influence or an interest in the information security of the organisation, such as customers, suppliers, regulators, employees, etc. The organisation should also consider the needs and expectations of these interested parties when defining the scope of the ISMS, and ensure that they are met and communicated.
E: This clause requires the organisation to establish an information security policy that provides the framework for setting the information security objectives and guiding the information security activities13. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to define the direction and principles of the ISMS, and to align them with the strategic goals and context of the organisation. The information security policy should also be consistent with the scope of the ISMS, and should be communicated and understood within the organisation and by relevant interested parties.
F: This clause requires the organisation to determine the internal and external issues that are relevant to the purpose and the context of the organisation, and that affect its ability to achieve the intended outcomes of the ISMS14. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to understand the factors and conditions that influence the information security of the organisation, such as the legal, technological, social, economic, environmental, etc. The organisation should also monitor and review these issues, and consider them when defining the scope of the ISMS.
H: This clause requires the organisation to determine the boundaries and applicability of the ISMS to establish its scope15. This clause is relevant to the verification of the scope of the ISMS because it helps the organisation to describe the information and processes that are included in the ISMS, and to document the scope in a clear and concise manner. The organisation should also consider the issues, requirements, and interfaces identified in clauses 4.1, 4.2, and 4.3 when determining the scope of the ISMS, and ensure that the scope is appropriate to the nature and scale of the organisation.
References:
1: PECB Candidate Handbook – ISO 27001 Lead Auditor, page 17 2: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause
4.2 3: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 5.2 4: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 4.1 5: ISO/IEC
27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, clause 4.3

[Jan-2025] ISO-IEC-27001-Lead-Auditor PDF Dumps Extremely Quick Way Of Preparation [Q118-Q134]

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