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

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Question # 57

Scenario 5: Data Grid Inc. is a well-known company that delivers security services across the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their networks through advanced products and services. Having achieved reputation in the information and network security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and customer assets and gain competitive advantage.

Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The audit team followed a risk-based auditing approach.

To gain an overview of the main business processes and controls, the audit team accessed process descriptions and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk that a significant defect could occur to Data Grid Inc.'s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by asking the representatives of Data Grid Inc. the following questions:

â€¢How are responsibilities for IT and IT controls defined and assigned?

â€¢How does Data Grid Inc. assess whether the controls have achieved the desired results?

â€¢What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious software?

â€¢Are firewall-related controls implemented?

Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.

The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management. Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised between Data Grid Inc. and the certification body in regards to audit objectives. Data Grid Inc. stated that even though the audit objectives included the identification of areas for potential improvement, the audit team did not provide such information.

Based on this scenario, answer the following question:

Which type of audit risk was defined as â€œlow* by the audit team? Refer to scenario 5.

Inherent

Control

Detection

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Question # 58

Question:

An organization is evaluating the materiality of different processes within its ISMS. It is assessing the direct expenses involved with personnel, third-party services, and general fees. Which factor of materiality is the company primarily considering?

Cost of operations

Cost of the process

Potential cost of errors or nonconformities

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Question # 59

Question:

Which of the following statements regarding documented information in an organization's ISMS is incorrect?

The purpose of documented information is to guide the ISMS operation and provide evidence of process effectiveness

The collection of documented information should be a target in itself

Documented information should not be detailed and complex to ensure thoroughness

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Question # 60

What is meant by the term 'Corrective Action'? Select one

Action is taken to prevent a nonconformity or an incident from occurring

Action is taken to eliminate the cause(s) of a nonconformity or an incident

Action is taken by management to respond to a nonconformity

Action is taken to fix a nonconformity or an incident

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Question # 61

Question:

EquiBank is undergoing an external audit of its financial management system. The auditors evaluate the logic of transactions processed by EquiBank's financial software. To ensure accuracy, they use simulations to validate operations, calculations, and controls programmed in the software applications. What type of Computer-Assisted Audit Technique (CAAT) is used?

Plotting and cartography software applications

Utility software

Data test

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Question # 62

The purpose of a management system audit is to? Select 1

Evaluate the performance of an organisation's management system

Improve the performance of an organisation's management system

Manage the performance of an organisation's management system

Research the performance of an organisation's management system

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Question # 63

Which two of the following statements are true?

The organisation is only required to comply with legislation that directly relates to its information security management system.

During a third-party audit, the auditor evaluates how the organisation ensures that it is made aware of changes to the legal requirements.

The organisation is not allowed to outsource the task of reviewing the legislative environment to ensure legal compliance is maintained.

As part of a certification body audit, the auditor is responsible for verifying the organisation's legal compliance status.

During a certification body audit, the auditor should ensure documented information is retained which identifies the legislation the organisation is required to comply with.

The role of a certification body auditor involves evaluating the organisation's processes to ensure compliance with their legal requirements.

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Answer:

Explanation:

From Exact Extract:

Explanation for B (True):

This statement is true because ISO 27001 requires an organization to establish processes for identifying, reviewing, and complying with applicable legal, statutory, regulatory, and contractual obligations. A key part of this is being aware of changes to these requirements to maintain ongoing compliance. An auditor's role is to verify that the organization has such a process in place and that it is effective.

[Reference:, ISO/IEC 27001:2022, Clause 6.1.3 "Information security risk treatment": While not directly stating "legal requirements," this clause implies that the organization must determine controls to treat information security risks, and compliance with legal requirements is a significant risk factor., ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": This control states: "The organization should identify, document, and comply with relevant legal, statutory, regulatory, and contractual requirements related to information security." This inherently includes processes for staying aware of changes., ISO/IEC 27002:2022, 5.31 (Guidance for A.5.31): Provides more detail, emphasizing the need for processes to "identify all relevant legal, statutory, regulatory and contractual requirements, and to ensure that appropriate action is taken to comply with these requirements." This explicitly includes monitoring for changes., ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": An audit objective is to determine "the ability of the management system to ensure the client meets applicable statutory, regulatory and contractual requirements." This necessarily involves checking the process for identifying changes., Explanation for E (True):, ISO 27001 mandates the retention of documented information for various aspects of the ISMS, including the identification of legal requirements. Auditors will look for evidence that the organization has indeed identified and documented the applicable legislation it needs to comply with., , Reference:, ISO/IEC 27001:2022, Clause 7.5.1 "General," 7.5.2 "Creating and updating documented information," and 7.5.3 "Control of documented information": These clauses generally require documented information to be maintained and retained as specified by the standard., ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": As mentioned above, this control explicitly states that the organization should "identify, document, and comply with relevant legal, statutory, regulatory and contractual requirements." The term "document" directly implies "documented information is retained.", ISO/IEC 27002:2022, 5.31 (Guidance for A.5.31): Further elaborates that the identified requirements should be documented and kept up to date., Explanation for A (False):, The organization is required to comply with all applicable legal, statutory, and regulatory requirements, as well as contractual obligations. Information security often intersects with broader legal frameworks (e.g., data protection, privacy, industry-specific regulations) that may not directly relate to the ISMS in a narrow sense, but are critical to the organization's overall compliance and its information security posture., , Reference:, ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": This control does not limit compliance to only what "directly relates" but to "relevant" requirements. The scope of "relevant" is determined by the organization's context, operations, and information it handles., Explanation for C (False):, Organizations can and often do outsource tasks like legal environment reviews to specialized legal firms or subscribe to legal compliance services. The ISO 27001 standard does not prohibit outsourcing. However, the organization remains ultimately accountable for ensuring that these outsourced processes meet the requirements of the ISMS and that legal compliance is maintained. The auditor would verify the organization's oversight of such outsourced activities., , Reference:, ISO/IEC 27001:2022, Clause 8.1 "Operational planning and control": This clause states that organizations should "control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects" and "ensure that outsourced processes are controlled." This implicitly allows outsourcing but requires control., Explanation for D (False):, A certification body auditor's role is not to act as a legal compliance officer or to definitively verify the organization's actual legal compliance status (i.e., whether they are perfectly compliant with every law). That responsibility lies with the organization itself, often supported by its legal counsel. The auditor's role is to verify that the organization has established, implemented, and maintains an effective process for identifying, managing, and complying with legal requirements as required by ISO 27001. They audit the management system's approach to compliance, not the legal compliance outcome itself., , Reference:, ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": States that the audit is to determine "the ability of the management system to ensure the client meets applicable statutory, regulatory and contractual requirements." It does not state the auditor's role is to legally verify compliance., ISO/IEC 27001:2022, Introduction: Emphasizes that the standard specifies requirements for establishing, implementing, maintaining, and continually improving an ISMS, not for guaranteeing absolute legal compliance outside the scope of the ISMS processes., Explanation for F (This statement is generally aligned with the role, but less precise as a 'sole true' statement compared to B and E):, While this statement is generally true about the auditor's role, its phrasing "to ensure compliance with their legal requirements" can be misinterpreted. As explained for D, the auditor evaluates the processes designed to achieve compliance, not the absolute legal compliance itself. However, in the context of multiple-choice questions where you pick the "most true" statements, it conveys a similar intent to B, but B and E are more precise regarding specific auditor actions and ISMS requirements. Given B and E are unequivocally true as specific audit actions/requirements, they are the stronger correct answers., , Reference:, ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": As noted before, the audit objective includes evaluating the management system's ability to meet requirements. This aligns with evaluating processes., , , , ]

Question # 64

In the context of a management system audit, please identify the sequence of a typical process of collecting and verifying information. The first one has been done for you.