ISO-IEC-27001-Lead-Auditor Exam Dumps - PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

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.

 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.

According to ISO 19011:2018, which provides guidelines for auditing management systems, an auditor conducting a certification audit should prepare for an audit by reviewing relevant information about the auditee’s context and processes1. This may include reviewing documented information related to the audited management system (such as policies, procedures, manuals), previous audit reports and records (such as findings, nonconformities, corrective actions), relevant legal and regulatory requirements (such as laws, standards), relevant risks and opportunities (such as internal and external issues), relevant performance indicators (such as objectives, targets), etc1. Therefore, an auditor may need work documents such as an audit plan (which defines what will be done during an audit), a sample plan (which defines how many samples will be taken from a population), and a checklist (which helps to ensure that all relevant aspects are covered during an audit)1. However, an auditor does not need work documents such as an organisation’s financial statement (which is not directly related to information security management), a career history of the IT manager (which is not relevant to assessing conformity with ISO/IEC 27001:2022), or a list of external providers (which is not necessary for planning an audit)1. References: ISO 19011:2018 - Guidelines for auditing management systems

Step 1 = Incident logging Step 2 = Incident categorisation Step 3 = Incident prioritisation Step 4 = Incident assignment Step 5 = Task creation and management Step 6 = SLA management and escalation Step 7 = Incident resolution Step 8 = Incident closure

The order of the stages in the information security incident management process should follow a logical sequence that ensures a quick, effective, and orderly response to the incidents, events, and weaknesses. The order should also be consistent with the best practices and guidance provided by ISO/IEC 27001:2022 and ISO/IEC 27035:2022. Therefore, the following order is suggested:

Step 1 = Incident logging: This step involves recording the details of the potential incident, event, or weakness, such as the date, time, source, description, impact, and reporter. This step is important to provide a traceable record of the incident and to facilitate the subsequent analysis and response. This step is related to control A.16.1.1 of ISO/IEC 27001:2022, which requires the organization to establish responsibilities and procedures for the management of information security incidents, events, and weaknesses. This step is also related to clause 6.2 of ISO/IEC 27035:2022, which provides guidance on how to log the incidents, events, and weaknesses.

Step 2 = Incident categorisation: This step involves determining the type and nature of the incident, event, or weakness, such as whether it is a hardware issue, network issue, or software issue. This step is important to classify the incident and to assign it to the appropriate resolver or team. This step is related to control A.16.1.2 of ISO/IEC 27001:2022, which requires the organization to report information security events and weaknesses as quickly as possible through appropriate management channels. This step is also related to clause 6.3 of ISO/IEC 27035:2022, which provides guidance on how to categorize the incidents, events, and weaknesses.

Step 3 = Incident prioritisation: This step involves assessing the severity and urgency of the incident, event, or weakness, and classifying it as critical, high, medium, or low. This step is important to prioritize the incident and to allocate the necessary resources and time for the response. This step is related to control A.16.1.3 of ISO/IEC 27001:2022, which requires the organization to assess and prioritize information security events and weaknesses in accordance with the defined criteria. This step is also related to clause 6.4 of ISO/IEC 27035:2022, which provides guidance on how to prioritize the incidents, events, and weaknesses.

Step 4 = Incident assignment: This step involves passing the incident, event, or weakness to the individual or team who is best suited to resolve it, based on their skills, knowledge, and availability. This step is important to ensure that the incident is handled by the right person or team and to avoid delays or confusion. This step is related to control A.16.1.4 of ISO/IEC 27001:2022, which requires the organization to respond to information security events and weaknesses in a timely manner, according to the agreed procedures. This step is also related to clause 6.5 of ISO/IEC 27035:2022, which provides guidance on how to assign the incidents, events, and weaknesses.

Step 5 = Task creation and management: This step involves identifying and coordinating the work needed to resolve the incident, event, or weakness, such as performing root cause analysis, testing solutions, implementing changes, and documenting actions. This step is important to ensure that the incident is resolved effectively and efficiently, and that the actions are tracked and controlled. This step is related to control A.16.1.5 of ISO/IEC 27001:2022, which requires the organization to apply lessons learned from information security events and weaknesses to take corrective and preventive actions. This step is also related to clause 6.6 of ISO/IEC 27035:2022, which provides guidance on how to create and manage the tasks for the incidents, events, and weaknesses.

Step 6 = SLA management and escalation: This step involves ensuring that any service level agreements (SLAs) are adhered to while the resolution is being implemented, and that the incident is escalated to a higher level of authority or support if a breach looks likely or occurs. This step is important to ensure that the incident is resolved within the agreed time frame and quality, and that any deviations or issues are communicated and addressed. This step is related to control A.16.1.6 of ISO/IEC 27001:2022, which requires the organization to communicate information security events and weaknesses to the relevant internal and external parties, as appropriate. This step is also related to clause 6.7 of ISO/IEC 27035:2022, which provides guidance on how to manage the SLAs and escalations for the incidents, events, and weaknesses.

Step 7 = Incident resolution: This step involves applying a temporary workaround or a permanent solution to resolve the incident, event, or weakness, and restoring the normal operation of the information and information processing facilities. This step is important to ensure that the incident is resolved completely and satisfactorily, and that the information security is restored to the desired level. This step is related to control A.16.1.7 of ISO/IEC 27001:2022, which requires the organization to identify the cause of information security events and weaknesses, and to take actions to prevent their recurrence or occurrence. This step is also related to clause 6.8 of ISO/IEC 27035:2022, which provides guidance on how to resolve the incidents, events, and weaknesses.

Step 8 = Incident closure: This step involves closing the incident, event, or weakness, after verifying that it has been resolved satisfactorily, and that all the actions have been completed and documented. This step is important to ensure that the incident is formally closed and that no further actions are required. This step is related to control A.16.1.8 of ISO/IEC 27001:2022, which requires the organization to collect evidence and document the information security events and weaknesses, and the actions taken. This step is also related to clause 6.9 of ISO/IEC 27035:2022, which provides guidance on how to close the incidents, events, and weaknesses.

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

Audit test plans define the structured approach for conducting interviews, observations, and control testing.

ISO 19011:2018 describes audit test planning as essential for consistent evidence collection.

A. Incorrect:

Test plans do not generate reports—they outline procedures for evidence collection.

C. Incorrect:

Audit test plans focus on specific risks rather than evaluating all elements.

Relevant Standard Reference:

ISO 19011:2018 Clause 6.4.5 (Audit Test Planning Procedures)

This is the definition of an interested party according to ISO 27001:2013, clause 3.16. An interested party is essentially a stakeholder, i.e., a person or organization that can influence or be influenced by the information security management system (ISMS) or its activities. Interested parties can have different needs and expectations regarding the ISMS, and these should be identified and addressed by the organization. References:

ISO/IEC 27001:2013, Information technology — Security techniques — Information security management systems — Requirements, clause 3.16

PECB Candidate Handbook ISO 27001 Lead Auditor, page 10

Identifying interested parties and their expectations for an ISO 27001 ISMS

Examples of ISO 27001 interested parties

Materiality should be considered during the initial contact to obtain reasonable assurance that the audit can be successfully completed. Determining materiality helps establish the threshold for the significance of audit findings, ensuring that the audit focuses on substantial issues that could impact the audit conclusions.

The three options that would not be valid audit trails are:

•Collect more evidence on how the organisation manages the Point of Contact (PoC) which monitors vulnerabilities. (Relevant to clause 8.1)

•Collect more evidence on whether terms and definitions are contained in the information security policy. (Relevant to control 5.32)

•Collect more evidence to determine if ISO 27035 (Information security incident management) is used as internal audit criteria. (Relevant to clause 8.13)

These options are not valid audit trails because they are not directly related to the information security incident management process, which is the focus of the audit. The audit trails should be relevant to the objectives, scope, and criteria of the audit, and should provide sufficient and reliable evidence to support the audit findings and conclusions1.

Option E is not valid because the PoC is not a part of the information security incident management process, but rather a role that is responsible for reporting and escalating information security incidents to the appropriate authorities2. The audit trail should focus on how the PoC performs this function, not how the organisation manages the PoC.

Option G is not valid because the terms and definitions are not a part of the information security incident management process, but rather a part of the information security policy, which is a high-level document that defines the organisation’s information security objectives, principles, and responsibilities3. The audit trail should focus on how the information security policy is communicated, implemented, and reviewed, not whether it contains terms and definitions.

Option H is not valid because ISO 27035 is not a part of the information security incident management process, but rather a guidance document that provides best practices for managing information security incidents4. The audit trail should focus on how the organisation follows the requirements of ISO/IEC 27001:2022 for information security incident management, not whether it uses ISO 27035 as an internal audit criteria.

The other options are valid audit trails because they are related to the information security incident management process, and they can provide useful evidence to evaluate the conformity and effectiveness of the process. For example:

•Option A is valid because it relates to control A.5.29, which requires the organisation to establish procedures to isolate and quarantine areas subject to information security incidents, in order to prevent further damage and preserve evidence5. The audit trail should collect evidence on how the organisation implements and tests these procedures, and how they ensure the continuity of information security during disruption.

•Option B is valid because it relates to control A.6.8, which requires the organisation to establish mechanisms for reporting information security events and weaknesses, and to ensure that they are communicated in a timely manner to the appropriate levels within the organisation6. The audit trail should collect evidence on how the organisation defines and uses these mechanisms, and how they monitor and review the reporting process.

•Option C is valid because it relates to clause 7.2, which requires the organisation to provide information security awareness, education, and training to all persons under its control, and to evaluate the effectiveness of these activities7. The audit trail should collect evidence on how the organisation identifies the information security training needs, how they deliver and record the training, and how they measure the learning outcomes and feedback.

•Option D is valid because it relates to control A.5.27, which requires the organisation to learn from information security incidents and to implement corrective actions to prevent recurrence or reduce impact8. The audit trail should collect evidence on how the organisation analyses and documents the root causes and consequences of information security incidents, how they identify and implement corrective actions, and how they verify the effectiveness of these actions.

•Option F is valid because it relates to control A.5.30, which requires the organisation to establish and maintain a business continuity plan to ensure the availability of information and information processing facilities in the event of a severe information security incident9. The audit trail should collect evidence on how the organisation develops and updates the business continuity plan, how they test and review the plan, and how they communicate and train the relevant personnel on the plan.

Comprehensive and Detailed In-Depth Explanation:

A. Correct Answer:

Combining multiple audit test plans ensures different perspectives and validation techniques are applied, improving audit accuracy.

ISO 19011:2018 encourages a diversified approach to auditing to ensure comprehensive results.

B. Incorrect:

Not all areas require equal auditing—risk-based focus is preferred.

C. Incorrect:

Frequent audits may still be required depending on organizational needs.

Relevant Standard Reference:

ISO 19011:2018 Clause 6.4.3 (Using Multiple Audit Test Methods for Assurance)