ISO-IEC-27001-Lead-Auditor PECB Certified ISO/IEC 27001 2022 Lead Auditor exam Free Practice Exam Questions (2025 Updated)

The correct order of the stages is:

Prepare the audit checklist

Gather objective evidence

Review audit evidence

Document findings

Audit preparation: This stage involves defining the audit objectives, scope, criteria, and plan. The auditor also prepares the audit checklist, which is a list of questions or topics that will be covered during the audit. The audit checklist helps the auditor to ensure that all relevant aspects of the ISMS are addressed and that the audit evidence is collected in a systematic and consistent manner12.

Audit execution: This stage involves conducting the audit activities, such as opening meeting, interviews, observations, document review, and closing meeting. The auditor gathers objective evidence, which is any information that supports the audit findings and conclusions. Objective evidence can be qualitative or quantitative, and can be obtained from various sources, such as records, statements, physical objects, or observations123.

Audit reporting: This stage involves reviewing the audit evidence, evaluating the audit findings, and documenting the audit results. The auditor reviews the audit evidence to determine whether it is sufficient, reliable, and relevant to support the audit findings. The auditor evaluates the audit findings to determine the degree of conformity or nonconformity of the ISMS with the audit criteria. The auditor documents the audit results in an audit report, which is a formal record of the audit process and outcomes. The audit report typically includes the following elements123:

An introduction clarifying the scope, objectives, timing and extent of the work performed

An executive summary indicating the key findings, a brief analysis and a conclusion

The intended report recipients and, where appropriate, guidelines on classification and circulation

Detailed findings and analysis

Recommendations for improvement, where applicable

A statement of conformity or nonconformity with the audit criteria

Any limitations or exclusions of the audit scope or evidence

Any deviations from the audit plan or procedures

Any unresolved issues or disagreements between the auditor and the auditee

A list of references, abbreviations, and definitions used in the report

A list of appendices, such as audit plan, audit checklist, audit evidence, audit team members, etc.

Audit follow-up: This stage involves verifying the implementation and effectiveness of the corrective actions taken by the auditee to address the audit findings. The auditor monitors the progress and completion of the corrective actions, and evaluates their impact on the ISMS performance and conformity. The auditor may conduct a follow-up audit to verify the corrective actions on-site, or may rely on other methods, such as document review, remote interviews, or self-assessment by the auditee. The auditor documents the follow-up results and updates the audit report accordingly123.

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

According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, the auditee should take the following actions in response to a nonconformity against clause 6.1.3.e of ISO/IEC 27001:20221:

Implement the appropriate risk treatment for each of the applicable controls, as this is the main requirement of clause 6.1.3.e and the objective of the risk treatment process2.

Revise the relevant content in the Statement of Applicability to justify their exclusion, as this is the expected output of the risk treatment process and the evidence of the risk-based decisions3.

Revisit the risk assessment process relating to the three controls, as this is the input for the risk treatment process and the source of identifying the risks and the controls4.

The other options are not correct because:

Allocating responsibility for producing evidence to prove to auditors that the controls are implemented is not a valid action, as the audit team already found that there was no evidence of the implementation of the three controls.

Compiling plans for the periodic assessment of the risks associated with the controls is not a valid action, as this is part of the risk monitoring and review process, not the risk treatment process5.

Incorporating written procedures for the controls into the organisation’s Security Manual is not a valid action, as this is part of the documentation and operation of the ISMS, not the risk treatment process.

Removing the three controls from the Statement of Applicability is not a valid action, as this is not a sufficient justification for their exclusion and does not reflect the risk treatment process.

Undertaking a survey of customers to find out if the controls are needed by them is not a valid action, as this is not a relevant criterion for the risk assessment and treatment process, which should be based on the organisation’s own context and objectives.

References: 1: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 36, section 4.5.22: ISO/IEC 27001:2022, clause 6.1.3.e3: ISO/IEC 27001:2022, clause 6.1.3.f4: ISO/IEC 27001:2022, clause 6.1.25: ISO/IEC 27001:2022, clause 6.2. : ISO/IEC 27001:2022, clause 7.5 and 8. : ISO/IEC 27001:2022, clause 6.1.3.d. : ISO/IEC 27001:2022, clause 4.1 and 4.2.

The word that best completes the sentence is “demonstrate”. According to ISO/IEC 27001:2022, Clause 7.5, the organization shall retain documented information as evidence of the performance of the processes and the conformity of the products and services with the requirements1. The purpose of retaining documented information is to demonstrate conformity with the requirements of the management system standard, not to maintain, audit, or certify it. References: 1: ISO/IEC 27001:2022, Information technology — Security techniques — Information security management systems — Requirements, Clause 7.5

The number of days assigned to a third-party audit is not determined by the auditee’s availability, but by the audit program, which considers the audit scope, objectives, criteria, risks, and resources12. The auditee’s availability is only one factor that affects the audit planning and scheduling, but not the audit duration3. Auditors approved for conducting onsite audits do require additional training for virtual audits, as there are significant differences in the skillset required. Virtual audits pose different challenges and opportunities than onsite audits, such as communication, technology, security, and evidence collection4 . Auditors need to be familiar with the tools and techniques for conducting remote audits, as well as the ethical and professional behavior expected in a virtual environment . References:

PECB Candidate Handbook - ISO 27001 Lead Auditor, page 18

ISO 19011:2018, Guidelines for auditing management systems, clause 5.3.2

ISO 19011:2018, Guidelines for auditing management systems, clause 6.3.1

Deloitte - Conducting a Virtual Internal Audit, page 1

[A Guide to Conducting Effective and Efficient Remote Audits], page 1

[ISO 19011:2018, Guidelines for auditing management systems], clause 7.2.3

[Remote Auditing Best Practices & Checklist for Regulatory Compliance], page 1

According to ISO/IEC 27001:2022, clause 7.2.2, the organization shall ensure that all persons who have access to information are aware of the information security policy and their contribution to the effectiveness of the ISMS, including the benefits of improved information security performance2. Therefore, awareness training on information security is a requirement for all persons, not just new hires. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

The use of clear text passwords for authentication in FTP is a vulnerability because it is a weakness that can be exploited by threat actors. Clear text passwords can be intercepted easily by network sniffers or through man-in-the-middle attacks, making them a significant security risk1. References: = This explanation is consistent with the understanding of vulnerabilities within the field of information security, particularly as it relates to network protocols like FTP and their associated risks

The auditee is required to submit action plans that include detailed information on how every corrective action will be implemented. General statements are not sufficient; the action plans must specify the corrective actions in detail to ensure that the root causes of the nonconformities are addressed effectively.

References: ISO/IEC 27001:2013, Clause 10.1 (General) and ISO 19011:2018, Guidelines for auditing management systems.

According to ISO 27001:2022 clause 4.3, the organisation shall determine the scope of the information security management system (ISMS) by considering the internal and external issues, the requirements of interested parties, and the interfaces and dependencies with other organisations12

In this case, the ISMS scope covers an outsourced data center that hosts the artificial intelligence (AI) cloud server for healthcare monitoring and analysis of the residents’ data. Therefore, the audit evidence you need to find to verify the scope of the ISMS should include:

The auditee has identified the governmental authorities’ needs and expectations on healthcare services and patient data handling. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to comply with the relevant laws and regulations regarding the quality, safety, and privacy of healthcare services and patient data12

The auditee has identified the resident’s needs and expectations on how they should protect the resident’s personal data. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to ensure the confidentiality, integrity, and availability of the resident’s personal data that is collected, processed, and stored by the electronic wristband and the AI cloud server12

The IT service agreement with the data center where the artificial intelligence (AI) cloud server is located. This is an interface and dependency with another organisation that affects the ISMS scope, as the auditee has to control the externally provided processes, products, and services that are relevant to the ISMS, and to implement appropriate contractual requirements related to information security12

The following options are not relevant or sufficient for verifying the scope of the ISMS:

The auditee has identified the resident’s needs and expectations on the facility and environmental safety. This is an external issue and an interested party requirement, but it does not affect the ISMS scope, as it is not related to information security12

The auditee has ISO 9001 certification. This is an indication of the auditee’s quality management system, but it does not verify the scope of the ISMS, as it is not related to information security12

The auditee has identified the resident’s needs and expectations on the comfort facility, medical professional’s competence, and clean environment. These are external issues and interested party requirements, but they do not affect the ISMS scope, as they are not related to information security12

The auditee has identified the resident’s needs and expectations on healthcare medical treatment services. These are external issues and interested party requirements, but they do not verify the scope of the ISMS, as they are not specific to information security12

The auditee is considering the purchase of a healthcare monitoring app from an external software company. This is a potential change that may affect the ISMS scope in the future, but it does not verify the current scope of the ISMS, as it is not yet implemented or controlled12

References:

1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2