ISO-IEC-27001-Lead-Auditor PECB Certified ISO/IEC 27001 Lead Auditor exam Question and Answers

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 4.2 requires an organization to determine the needs and expectations of interested parties that are relevant to its ISMS1. This includes identifying the legal, regulatory, contractual and other requirements that apply to its information security activities1. Therefore, collecting more evidence on what the service requirements of healthcare monitoring are may not be relevant to verifying the information security incident management process, as it is not directly related to the audit objective or criteria. This option will not be in the audit trail.

Machine learning is a subset of artificial intelligence that involves the use of algorithms and statistical models to enable systems to improve their performance on a specific task over time with experience or data, without being explicitly programmed. In the context of the scenario, machine learning would be the technology that allows the chatbot to learn from patterns in queries to provide the right answers.

The stages of information are creation, distribution, use, maintenance, and disposition. These are the phases that information goes through during its lifecycle, from the moment it is generated to the moment it is destroyed or archived. Each stage of information has different security requirements and risks, and should be managed accordingly. Creation, evolution, maintenance, use, and disposition are not the correct stages of information, as evolution is not a distinct stage, but a process that can occur in any stage. Creation, use, disposition, maintenance, and evolution are not the correct stages of information, as they are not in the right order. Creation, distribution, maintenance, disposition, and use are not the correct stages of information, as they are not in the right order. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 32. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 12.

A first-party audit is an internal audit conducted by the organization itself or by an external party on its behalf. The objectives of a first-party audit are to: 12

• Confirm the scope of the management system is accurate, i.e., it covers all the processes, activities, locations, and functions that are relevant to the information security objectives and requirements of the organization.
• Update the management policy, i.e., review and revise the policy statement, roles and responsibilities, and objectives and targets of the information security management system (ISMS) based on the audit findings and feedback.

The other phrases are not objectives of a first-party audit, but rather:

• Apply international standards: This is a requirement for the ISMS, not an objective of the audit. The ISMS must conform to the ISO/IEC 27001 standard and any other applicable standards or regulations12
• Prepare the audit report for the certification body: This is an activity of a third-party audit, not a first-party audit. A third-party audit is an external audit conducted by an independent certification body to verify the conformity and effectiveness of the ISMS and to issue a certificate of compliance12
• Complete the audit on time: This is a performance indicator, not an objective of the audit. The audit should be completed within the planned time frame and budget, but this is not the primary purpose of the audit12
• Apply regulatory requirements: This is also a requirement for the ISMS, not an objective of the audit. The ISMS must comply with the legal and contractual obligations of the organization regarding information security12

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

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.

References: 1: ISO 19011:2018, 6.2; 2: ISO/IEC 27001:2022, A.6.8.1; 3: ISO/IEC 27001:2022, 5.2; 4: ISO/IEC 27035:2016, Introduction; 5: ISO/IEC 27001:2022, A.5.29; 6: ISO/IEC 27001:2022, A.6.8; 7: ISO/IEC 27001:2022, 7.2; 8: ISO/IEC 27001:2022, A.5.27; 9: ISO/IEC 27001:2022, A.5.30; : ISO 19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27035:2016; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

Yes, it is acceptable for the internal auditor to follow-up on the implementation of corrective actions until verified by the external auditor during the next surveillance audit. This practice supports continuous improvement and ensures that corrective actions are effectively implemented and maintained over time.

References: PECB ISO/IEC 27001 Lead Auditor Course Material; ISO/IEC 27001:2013, Clause 9.2 (Internal audit)

An intrinsic vulnerability refers to a weakness that is inherent to a system or tool, such as a data processing tool’s inability to perform bound checking on arrays. This characteristic makes the system susceptible to issues like buffer overflows, which can lead to crashes or other types of failures. References: = The concept of intrinsic vulnerability is based on the understanding that certain vulnerabilities are built into the system and are not influenced by external factors. This aligns with the general principles of information security management systems and the content typically covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs

The standard definition of ISMS is a systematic approach for establishing, implementing, operating, monitoring, reviewing, maintaining and improving an organization’s information security to achieve business objectives. This definition is given in clause 3.17 of ISO/IEC 27001:2022, and it describes the main components and purpose of an ISMS. An ISMS is not a project-based approach, as it is an ongoing process that requires continual improvement. An ISMS is not a company wide business objective, as it is a management system that supports the organization’s objectives. An ISMS is not an information security systematic approach, as it is a broader concept that encompasses the organization’s context, risks, controls, and performance. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 15. : ISO/IEC 27001:2022, clause 3.17.

According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, one of the professional behaviours expected from an audit team leader is to be decisive, which means to “reach timely conclusions based on logical reasoning and analysis” (page 8). Being open minded, ethical, and perceptive are also desirable qualities for an audit team leader, but they do not match the description given in the question. References: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 8.

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

Yes, outsourcing the internal audit function can positively impact the internal audit process by increasing its independence and impartiality. This helps ensure that the internal audits are conducted without any bias or influence from the company’s internal management.

According to ISO/IEC 27001:2022 clause 7.2, the organization must ensure that the persons doing work under its control are aware of the information security policy, their contribution to the effectiveness of the ISMS, the implications of not conforming to the ISMS requirements, and the benefits of improved information security performance. The organization must also provide information security awareness education and training to its personnel and relevant interested parties. According to control A.6.3, the organization must ensure that all employees and contractors are made aware of the information security incident management procedures and their expected roles and responsibilities. Therefore, an opportunity for improvement (OFI) can be identified if the information security incident training effectiveness can be improved, as evidenced by the differences in the understanding of the meaning of “weakness, event, and incident” among the staff.

According to ISO/IEC 27001:2022 clause 9.1, the organization must monitor, measure, analyze and evaluate the information security performance and the effectiveness of the ISMS. The organization must also retain appropriate documented information as evidence of the monitoring and measurement results. According to control A.5.24, the organization must establish and maintain an information security incident management process that includes the following activities:

•reporting information security events and weaknesses;

•assessing and deciding on information security events;

•responding to information security incidents;

•learning from information security incidents;

•collecting evidence and disclosing information.

Therefore, a nonconformity (NC) can be identified if the terminology of the incident management reporting process is unclear, as evidenced by the staff misunderstanding of the meaning of “weakness, event, and incident”. This could lead to inconsistent or inaccurate reporting, assessment, response, learning, and disclosure of information security incidents, which could affect the information security performance and the effectiveness of the ISMS.

References:

•ISO/IEC 27001:2022, clauses 7.2, 9.1, and Annex A controls A.5.24 and A.6.3

•[PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 15-16, 18-19, 22-23

•ISO/IEC 27035-1:2016, clauses 4, 5, 6, 7, and 8

•ISO 27001 – Annex A.16: Information Security Incident Management

•ISO 27001:2022 Annex A Control 5.24 - What’s New?

The three options for findings that are justified in the scenario are:

•Nonconformity (NC) - The information for the acceptance of residual information security risks should be updated after the risk treatment is implemented. Clause 6.1.3.f

•Nonconformity (NC) - The IT security manager should be aware of and understand his authority and area of responsibility. Clause 7.3

•Nonconformity (NC) - The risk treatment plan No. 123 should be approved by the risk owner, the Facility Manager in this case. Clause 6.1.3.f

According to ISO/IEC 27001:2022, clause 6.1.3.f, the organisation must retain documented information that includes the information for the acceptance of residual information security risks, and the approval of the risk treatment plan by the risk owner1. Therefore, option A and G are justified as nonconformities, because the organisation failed to update the information for the acceptance of residual risks, and the risk treatment plan was approved by the IT security manager, who is not the risk owner.

According to ISO/IEC 27001:2022, clause 7.3, the organisation must ensure that the persons assigned to perform the roles and responsibilities for the ISMS are competent, and are aware of the consequences of not conforming to the ISMS requirements2. Therefore, option E is justified as a nonconformity, because the IT security manager, who is responsible for the information security risk management process, was not aware of his authority and area of responsibility.

The other options are not justified as findings, because they are either irrelevant or incorrect. For example:

•Option B is irrelevant, because it is not related to the information security risk treatment plan No. 123, which is the focus of the audit.

•Option C is incorrect, because it is not an opportunity for improvement, but rather a benefit of the risk treatment plan No. 123, which is already implemented.

•Option D is incorrect, because it is not a nonconformity, but rather a requirement for the organisation to provide the resources needed for the ISMS, which is not the same as the resources needed for the risk treatment plan No. 123.

•Option F is incorrect, because it is not a nonconformity, but rather a requirement for the organisation to provide the resources needed for the continual improvement of the ISMS, which is not the same as the resources needed for the risk treatment plan No. 123.

•Option H is irrelevant, because it is not a finding, but rather a good practice, which is not the objective of the audit.

References: 1: ISO/IEC 27001:2022, 6.1.3.f; 2: ISO/IEC 27001:2022, 7.3; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

Audit methods are techniques used by auditors to obtain audit evidence. Audit methods can be classified into two categories: those that involve human interaction and those that do not2. Audit methods that involve human interaction require direct communication between the auditor and the auditee or other relevant parties, such as interviews, questionnaires, surveys, meetings, etc. Audit methods that do not involve human interaction rely on observation, inspection, measurement, testing, sampling, analysis, etc., without requiring any verbal or written exchange2. Therefore, performing an independent review of procedures in preparation for an audit and reviewing the auditee’s response to an audit finding are examples of audit methods that involve human interaction, as they require reading and evaluating documents provided by the auditee or other sources. On the other hand, analysing data by remotely accessing the auditee’s server and observing work performed by remote surveillance are examples of audit methods that do not involve human interaction, as they do not require any direct communication with the auditee or other parties. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

The responsibilities described fit those of a "guide." A guide in an audit context is typically someone from the auditee's organization who facilitates audit activities, manages logistics, ensures compliance with health and safety policies, and may also witness the audit process, assisting the audit team.

References: ISO 19011:2018, Guidelines for auditing management systems

Yes, according to ISO/IEC 27001, the company needs to provide evidence of the implementation of procedures regarding the logging of user activities. This requirement is essential to ensure that events are recorded and regularly reviewed, supporting the detection and prevention of security incidents.

References: ISO/IEC 27001:2013, Clause A.12.4 (Logging and monitoring)

The Check stage of the PDCA cycle involves monitoring and measuring the performance of the process and comparing it with the planned objectives and criteria. In the context of managing an internal audit programme, this stage includes verifying the effectiveness of the internal audit programme by evaluating whether it meets its objectives, scope, and criteria, and whether it is implemented in accordance with ISO 19011 guidelines1. It also includes reviewing the trends in internal audit results by analyzing the data collected from the audits, such as audit findings, nonconformities, corrective actions, opportunities for improvement, and customer feedback1. References: ISO 19011:2018 - Guidelines for auditing management systems

The purpose of a follow-up audit is to verify the completion and effectiveness of corrective actions taken by the auditee in response to the nonconformities identified in a previous audit1. A follow-up audit is a type of audit that is conducted after an initial audit, and it focuses on the specific areas where nonconformities were found and corrective actions were agreed upon2. A follow-up audit can be conducted as a separate audit or as part of a scheduled audit, depending on the nature and severity of the nonconformities and the audit programme objectives3.

The other options are not the purpose of a follow-up audit, but rather the purpose of other types of audits. For example:

•Option A is the purpose of a performance audit, which is a type of audit that evaluates the effectiveness of the management system in achieving its intended results4.

•Option B is the purpose of a compliance audit, which is a type of audit that verifies the conformity of the management system with the specified requirements, such as the ISMS objectives5.

•Option C is the purpose of a process audit, which is a type of audit that examines the inputs, activities, outputs, and interactions of a specific process within the management system, such as the risk treatment process.

References: 1: ISO 19011:2018, 6.7; 2: ISO 19011:2018, 3.7; 3: ISO 19011:2018, 5.5.2; 4: ISO 19011:2018, 3.6; 5: ISO 19011:2018, 3.5; : ISO 19011:2018, 3.4; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : [ISO 19011:2018]

According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, a certification body should establish criteria for determining audit time and audit team composition based on factors such as the scope of certification, size and complexity of the organization, risks associated with its activities, etc2. Therefore, if an auditee requests to extend the audit scope to include two additional sites after completing Stage 1 of an initial certification audit, the audit team leader should obtain information about the additional sites to inform the certification body, so that they can review and approve the change in scope and adjust the audit time and audit team accordingly2. The other options are not appropriate actions for the audit team leader to take in this situation. For example, increasing the length of the Stage 2 audit to include the extra sites without informing the certification body may violate their procedures and policies; arranging to complete a remote Stage 1 audit of the two sites using a video conferencing platform may not be feasible or effective depending on the nature and location of the sites; and informing the auditee that the request can be accepted but a full Stage 1 audit must be repeated may not be necessary or reasonable if there are no significant changes in the auditee’s ISMS since Stage 12. References: ISO/IEC 17021-1:2015 - Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements

According to ISO 19011:2018, which provides guidelines for auditing management systems, clause 6.6 requires the audit team leader to conduct a closing meeting with the auditee’s representatives at the end of the audit to present the audit conclusions and any findings1. The closing meeting should also provide an opportunity for the auditee to ask questions, clarify issues, acknowledge the findings, and comment on the audit process1. Therefore, when preparing for the closing meeting, an ISMS auditor should consider the following actions:

• I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge these: This action is appropriate because it reflects the fact that the auditor has followed a systematic and consistent approach to collecting and evaluating audit evidence and reaching audit conclusions. The auditor should advise the auditee that the purpose of the closing meeting is for the audit team to communicate their findings, which are based on objective evidence and professional judgement. The auditor should also explain that it is not an opportunity for the auditee to challenge these findings, as they have already been discussed and confirmed during the audit. However, the auditor should also invite the auditee to ask questions, clarify issues, acknowledge the findings, and comment on the audit process1.
• I will schedule a closing meeting with the auditee’s representatives at which the audit conclusions will be presented: This action is appropriate because it reflects the fact that the auditor has followed a planned and agreed audit programme and schedule. The auditor should schedule a closing meeting with the auditee’s representatives at which the audit conclusions will be presented, in accordance with clause 6.6 of ISO 19011:20181. The auditor should also ensure that the closing meeting is attended by those responsible for managing or implementing the ISMS, as well as any other relevant parties1.
• I will discuss any follow-up required with my audit team: This action is appropriate because it reflects the fact that the auditor has followed a risk-based approach to determining and reporting any follow-up actions required by the auditee or the certification body. The auditor should discuss any follow-up required with their audit team, such as verifying corrective actions for nonconformities or conducting a subsequent audit1. The auditor should also document any follow-up actions in the audit report1.
• I will review and, as appropriate, approve my teams audit conclusions: This action is appropriate because it reflects the fact that the auditor has followed a rigorous and professional process to reaching and reporting audit conclusions. The auditor should review and, as appropriate, approve their teams audit conclusions, which are based on objective evidence and professional judgement. The auditor should also ensure that their teams audit conclusions are consistent with the audit objectives and scope, and reflect the overall performance and conformity of the ISMS1.

According to ISO/IEC 17021-1:2015, which specifies the requirements for bodies providing audit and certification of management systems, clause 9.4.9 requires the certification body to make a certification decision based on the information obtained during the audit and any other relevant information1. The certification body should also consider the effectiveness of the corrective actions taken by the auditee to address any nonconformities identified during the audit1. Therefore, when making a recommendation to the audit programme manager, an ISMS auditor should consider the nature and severity of the nonconformities and the proposed corrective actions.

Based on the scenario above, the auditor should recommend certification after their approval of the proposed corrective action plan and recommend that the findings can be closed out at a surveillance audit in 1 year. The auditor should provide the following justification for their recommendation:

• Justification: This recommendation is appropriate because it reflects the fact that the auditee has only two minor nonconformities and one opportunity for improvement, which do not indicate a significant or systemic failure of their ISMS. A minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its overall effectiveness or conformity2. An opportunity for improvement is defined as a suggestion for improvement beyond what is required by ISO/IEC 27001:20222. Therefore, these findings do not prevent or preclude certification, as long as they are addressed by appropriate corrective actions within a reasonable time frame. The auditor should approve the proposed corrective action plan before recommending certification, to ensure that it is realistic, achievable, and effective. The auditor should also recommend that the findings can be closed out at a surveillance audit in 1 year, to verify that the corrective actions have been implemented and are working as intended.

The other options are not valid recommendations for the audit programme manager, as they are either too lenient or too strict for the given scenario. For example:

• Recommend certification immediately: This option is not valid because it implies that the auditor ignores or accepts the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines for auditing management systems. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to consider the effectiveness of the corrective actions taken by the auditee before making a certification decision.
• Recommend that a full scope re-audit is required within 6 months: This option is not valid because it implies that the auditor overreacts or exaggerates the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a re-audit is necessary based on the nature and extent of nonconformities and other relevant factors. A full scope re-audit is usually reserved for major nonconformities or multiple minor nonconformities that indicate a serious or widespread failure of an ISMS.
• Recommend that an unannounced audit is carried out at a future date: This option is not valid because it implies that the auditor distrusts or doubts the auditee’s commitment or capability to implement corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to conduct unannounced audits only under certain conditions, such as when there are indications of serious problems with an ISMS or when required by sector-specific schemes.
• Recommend that a partial audit is required within 3 months: This option is not valid because it implies that the auditor imposes or prescribes a specific time frame or scope for verifying corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a partial audit is necessary based on the nature and extent of nonconformities and other relevant factors. A partial audit may be appropriate for minor nonconformities, but the time frame and scope should be agreed upon with the auditee and based on the proposed corrective action plan.

References: ISO/IEC 17021-1:2015 - Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements, ISO 19011:2018 - Guidelines for auditing management systems

The possible matches of the characteristics to the descriptions are:

• Tenacious: Persistent and focused on objectives
• Ethical: Fair, truthful, sincere, honest, discreet
• Diplomatic: Tactful in dealing with individuals
• Observant: Actively observing surroundings/activities
• Perceptive: Aware of and able to understand situations
• Open to improvement: Willing to learn from situations

Actively observing surroundings/activities = Observant

Fair, truthful, sincere, honest, discreet = Ethical

Persistent and focused on objectives = Tenacious

Willing to learn from situations = Open to improvement

Tactful in dealing with individuals = Diplomatic

Aware of and able to understand situations = Perceptive

These are the auditor’s characteristics and their descriptions as defined by ISO 19011:2022, Clause 7.2.21. The auditor’s personal behaviour is essential for building trust and confidence with the auditee and for ensuring the credibility and effectiveness of the audit12. References: 1: ISO 19011:2022, Guidelines for auditing management systems, Clause 7.2.2 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 3: Fundamental audit concepts and principles

competence of the audit team and decision made by the certification body

According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, an accredited certification means that the certification body has been evaluated by an accreditation body against recognized standards to demonstrate its competence, impartiality and performance capability1. Therefore, an accredited certification assures the competence of the audit team that conducts the audit in accordance with ISO 19011 and ISO/IEC 27001:2022, and the decision made by the certification body that grants or maintains the certification based on the audit evidence and findings2. References: ISO/IEC 17021-1:2015 - Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements, ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

A threat in information security is any circumstance or event with the potential to cause harm to an information system through unauthorized access, destruction, disclosure, modification of data, and/or denial of service. The situation where hackers compromise an administrator’s account by cracking the password represents a direct threat to the security of the information system. References: = This explanation is based on general information security principles and the typical content covered in ISMS ISO/IEC 27001 Lead Auditor training and certification programs. It aligns with the knowledge expected of a professional with an ISO/IEC 27001 Lead Auditor certification

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

The following are guidelines to protect your password, except for easy recall use the same password for company and personal accounts; do not share passwords with anyone. Using the same password for company and personal accounts is not a guideline to protect your password, as it increases the risk of compromising your password if one of your accounts is hacked or breached. You should use different and unique passwords for each account, and change them regularly. Sharing passwords with anyone is not a guideline to protect your password, as it reduces the security and accountability of your password. You should keep your password confidential and never disclose it to anyone, even if they claim to be authorized or trustworthy. Don’t use the same password for various company system security access is a guideline to protect your password, as it prevents unauthorized access or misuse of your password if one of the systems is compromised or breached. You should use different and complex passwords for each system, and follow the password policies and standards of the organization. Change a temporary password on first log-on is a guideline to protect your password, as it prevents unauthorized access or misuse of your password if the temporary password is intercepted or leaked. You should change the temporary password to a personal and secure password as soon as possible, and avoid using default or predictable passwords. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 43. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.

The option that best describes how Information Security Management System (ISMS) audits should be conducted, aligning with best practices and standards like ISO/IEC 27001:2022, is:

D. Audit methods should be used to assess objective evidence in order to generate audit findings. Then, the audit conclusion should be created and presented to the auditee at the closing meeting.

This option accurately reflects the audit process, emphasizing the use of systematic audit methods to assess objective evidence, which is crucial for impartiality and accuracy in auditing. Audit findings are the results derived from evaluating the objective evidence against the audit criteria. The conclusion, based on the audit findings, provides a comprehensive summary of the audit's outcomes, indicating whether the audited ISMS meets the established criteria. Presenting these conclusions to the auditee during the closing meeting ensures transparency and provides an opportunity for immediate clarification and discussion of the results and potential next steps.

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

A.Evaluate the performance of an organisation's management system

B.Improve the performance of an organisation's management system

C.Manage the performance of an organisation's management system

D.Research the performance of an organisation's management system

Answer: A

A management system audit is a systematic, independent and documented process for obtaining objective evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled. The audit criteria are a set of requirements that may include policies, procedures, standards, regulations, etc. The purpose of a management system audit is to evaluate the performance of an organisation’s management system in terms of its effectiveness, efficiency, compliance, and improvement. A management system audit can also identify strengths, weaknesses, opportunities, and risks of the management system and provide recommendations for improvement.

When preparing for an audit, which of the following statements is false?

A.Each auditor creates their own audit checklist for use during the audit

B.The audit checklists are shared and agreed with the auditee in advance of the audit

C.The audit plan is shared with the auditee in advance of the audit

D.The audit plan may be changed during the audit

Answer: B

According to ISO/IEC 27001:2022, clause 8.2.1, the organization shall ensure that access to information and information processing facilities is limited to authorized users based on the access control policy and in accordance with the business requirements of access control2. Therefore, only employees with a business need-to-know are allowed to access highly confidential files, and not contractors, non-employees or employees with signed NDA. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

The benefits of implementing an ISMS primarily result from a reduction in information security risks. E. The purpose of an ISMS is to apply a risk management process for preserving information security. Comprehensive and Detailed Explanation: According to the ISO 27001 standard, the benefits of implementing an ISMS include the following1:

• Assuring customers and other stakeholders of the confidentiality, integrity and availability of information
• Enhancing the ability to respond to information security incidents and minimize their impacts
• Improving the governance and management of information security
• Reducing the costs and losses associated with information security breaches
• Increasing the competitiveness and reputation of the organization
• Complying with legal, regulatory and contractual obligations The purpose of an ISMS is to provide a systematic approach to managing information security risks, based on the Plan-Do-Check-Act (PDCA) cycle1. The ISMS enables the organization to establish, implement, maintain and continually improve its information security performance, in alignment with its business objectives and the needs and expectations of interested parties1. The ISMS consists of the following elements1:
• The information security policy and objectives
• The scope and boundaries of the ISMS
• The processes and procedures for information security risk assessment and treatment
• The resources and competencies for information security
• The roles and responsibilities for information security
• The performance evaluation and improvement of the ISMS
• The internal and external communication and awareness of the ISMS References:
• ISO/IEC 27001:2013, Information technology — Security techniques — Information security management systems — Requirements, clauses 1, 4, 5, 6, 7, 8, 9 and 10
• PECB Candidate Handbook ISO 27001 Lead Auditor, pages 9-11
• ISO/IEC 27001:2013 Information Security Management Standards
• 4 Key Benefits of ISO 27001 Implementation | ISMS.online
• ISO/IEC 27001:2022
• An Introduction to the ISO 27001 ISMS | Secureframe

• A third-party audit team leader is a person who leads an audit team that conducts audits on behalf of an external organization, such as a certification body, that provides certification or accreditation services to other organizations12.
• One of the main responsibilities of a third-party audit team leader is to act on behalf of the certification body, which means to represent its interests, policies, and procedures during the audit process12.
• Acting on behalf of the certification body involves communicating with the audit client and the auditee, planning and conducting the audit, reporting and evaluating the audit results, and making recommendations for certification or accreditation decisions12.
• Acting on behalf of the certification body also requires maintaining professional integrity, impartiality, confidentiality, and competence throughout the audit process12.

References :=

• ISO 19011:2022 Guidelines for auditing management systems
• ISO/IEC 17021-1:2022 Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 1: Requirements

As an employee, you should do the following when you see a visitor roaming around without visitor’s ID, except saying “hi” and offering coffee. Saying “hi” and offering coffee is not an appropriate action, as it may imply that you are welcoming or endorsing the visitor without verifying their identity or purpose. This may also give the visitor an opportunity to gain your trust or exploit your kindness. Calling the receptionist and informing about the visitor is an appropriate action, as it alerts the responsible staff to handle the situation and ensure that the visitor is authorized and registered. Greeting and asking him what is his business is an appropriate action, as it shows your concern and curiosity about the visitor’s presence and intention. Escorting him to his destination is an appropriate action, as it prevents the visitor from wandering around unattended and accessing unauthorized areas or information. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 42. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.

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.

The main purpose of a Stage 2 third-party audit is to evaluate the implementation and effectiveness of the organisation’s management system and to identify any nonconformances against the requirements of the standard12. The other options are either the objectives of a Stage 1 audit (A, D) or a specific aspect of the audit scope (B). References: 1: ISO/IEC 27006:2022, Information technology — Security techniques — Requirements for bodies providing audit and certification of information security management systems, Clause 9.2 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 4: Preparing an ISO/IEC 27001 audit

The audit objectives are the purpose and scope of an audit, as defined by the audit client and the auditor. According to the ISO/IEC 27001 standard, the audit objectives for an ISMS audit may include determining the extent of conformity of the ISMS with the audit criteria, evaluating the ability of the ISMS to ensure the organization meets its information security objectives, and identifying potential areas for improvement of the ISMS12. References: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 192: ISO/IEC 27007:2011 Information technology — Security techniques — Guidelines for information security management systems auditing, clause 4.2.1.

The Statement of Applicability (SoA) is a core document within an ISMS that outlines the security controls an organization implements. When a new control, such as the SSH protocol, is implemented, it should be included in the SoA to reflect the current state of the ISMS. The SoA should be updated to justify the inclusion of the new control and to document how it is implemented within the organization12. References: = This guidance is based on the best practices for maintaining the SoA as per ISO/IEC 27001, which requires the SoA to be a living document that accurately reflects the security controls in use by the organization

The best practice in acceptable use of information assets is A: access to information and communication systems are provided for business purpose only. This means that the organization grants access to its information and communication systems only to authorized users who need to use them for legitimate and approved business activities. The organization does not allow or tolerate any unauthorized, inappropriate or personal use of its information and communication systems, as this could compromise information security, violate policies or laws, or cause damage or harm to the organization or its stakeholders. The other options are not best practices in acceptable use of information assets, as they could violate information security policies and procedures, as well as ethical or legal standards. Interfering with or denying service to any user other than the employee’s host (B) is a malicious act that could disrupt the availability or performance of the information systems or services of another user or organization. Playing any computer games during office hours © is a personal and unprofessional use of the information and communication systems that could distract the employee from their work duties, waste resources and bandwidth, or expose the systems to malware or other risks. Accessing phone or network transmissions, including wireless or wifi transmissions (D) is a potential breach of confidentiality or privacy that could intercept, monitor or modify the information transmitted by another user or organization without their consent or authorization. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3). References: 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 Acceptable Use?

Information security is a matter of building and maintaining trust. Trust is the confidence that information and information processing facilities are protected from unauthorized or malicious actions that could compromise their confidentiality, integrity or availability. Trust is essential for establishing and maintaining relationships with customers, partners, suppliers, employees and other stakeholders who rely on the organization’s information and services. Trust is also a key factor for achieving compliance with legal, regulatory and contractual obligations, as well as meeting the organization’s own information security objectives and policies. ISO/IEC 27001:2022 defines information security as “preservation of confidentiality, integrity and availability of information” (see clause 3.28) and states that “the purpose of an information security management system is to provide a framework for managing activities that influence the trustworthiness of information” (see Introduction). References: 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 Trust?

According to ISO/IEC 27000:2018, which provides an overview and vocabulary of information security management systems, an information security event is an identified occurrence of a system, service or network state indicating a possible breach of information security policy or failure of safeguards, or a previously unknown situation that may be security relevant1. An information security incident is a single or a series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security1. Therefore, based on this definition, three examples of information security incidents are:

• A contractor who has not been paid deletes top management ICT accounts: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of access, data, or functionality for the top management.
• An unhappy employee changes payroll records without permission: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in financial fraud, legal liability, or reputational damage for the organization.
• The organisation’s marketing data is copied by hackers and sold to a competitor: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of confidentiality, competitive advantage, or customer trust for the organization.

The other options are not examples of information security incidents, but rather information security events that may or may not lead to incidents depending on their impact and severity. For example:

• The organisation’s malware protection software prevents a virus: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, as it is prevented by the malware protection software.
• A hard drive is used after its recommended replacement date: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it fails or causes other problems.
• The organisation receives a phishing email: This is an example of an identified occurrence of a network state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it is opened or responded to by the recipient.
• An employee fails to clear their desk at the end of their shift: This is an example of an identified occurrence of a service state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the desk contains sensitive or confidential information that is accessed by unauthorized persons.
• The organisation fails a third-party penetration test: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the penetration test reveals serious vulnerabilities that are exploited by malicious actors.

References: ISO/IEC 27000:2018 - Information technology – Security techniques – Information security management systems – Overview and vocabulary

The context of the organisation is the business environment in which the organisation operates and defines its information security management system (ISMS). It includes the internal and external factors and conditions that can influence the organisation’s information security objectives, strategies, and policies. The context of the organisation helps the organisation to identify the scope, boundaries, and requirements of the ISMS, as well as the interested parties and their expectations. The context of the organisation is determined by considering both internal and external issues, such as the organisational structure, culture, values, mission, vision, objectives, strategies, resources, capabilities, processes, activities, products, services, markets, customers, competitors, suppliers, partners, regulators, laws, regulations, standards, guidelines, best practices, risks, opportunities, threats, vulnerabilities, etc. References: ISO 27001:2022 Clause 4 Context of the organization, ISO 27001 Requirement 4.1 – Understanding the Context of the Organisation, ISO 27001 context of the organization – How to define it - Advisera

This statement encapsulates the relationship between threats, vulnerabilities, and assets within the context of information security. Threats are potential causes of an unwanted incident, which may result in harm to a system or organization. Vulnerabilities are weaknesses that can be exploited by threats to cause harm. Assets are valuable resources to an organization that need protection. Therefore, when threats exploit vulnerabilities, they can damage or destroy assets. References: = The explanation is based on the foundational concepts of information security as outlined in ISO/IEC 27001, which includes understanding the interplay between threats, vulnerabilities, and assets as part of an information security management system (ISMS)

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 6.2 requires an organization to establish information security objectives at relevant functions and levels1. The objectives should be consistent with the information security policy; measurable (if practicable) or capable of being evaluated; monitored; communicated; updated as appropriate1. Therefore, when auditing an organization’s information security objectives, an ISMS auditor should verify these aspects in accordance with the audit criteria.

Three responses from the ISMS auditor in training that would cause concern in relation to conformity with ISO/IEC 27001:2022 are:

• I am going to check that top management have determined the Information Security objectives for the current year. If not, I will check that this task has been programmed to be completed: This response would cause concern because it implies that the auditor in training is not aware of the requirement to establish information security objectives at relevant functions and levels, not just at the top management level. It also implies that the auditor in training is willing to accept a delay or postponement in determining the information security objectives, which may affect the ISMS performance and effectiveness.
• I am going to check that the Information Security objectives are written down on paper so that everyone is clear on what needs to be achieved, how it will be achieved, and by when it will be achieved: This response would cause concern because it implies that the auditor in training is not aware of the requirement to establish information security objectives that are measurable (if practicable) or capable of being evaluated, not just written down on paper. It also implies that the auditor in training is not aware of the flexibility and suitability of different media or formats for documenting and communicating information security objectives, such as electronic or digital records, posters, newsletters, etc.
• I am going to check that a completion date has been set for each objective and that there are no objectives with missing ‘achieve by’ dates: This response would cause concern because it implies that the auditor in training is not aware of the requirement to establish information security objectives that are monitored, not just completed by a certain date. It also implies that the auditor in training is not aware of the possibility and necessity of updating information security objectives as appropriate, such as when changes occur in the internal or external context of the organization, or when new risks or opportunities arise.

The other responses from the ISMS auditor in training are acceptable and do not cause concern in relation to conformity with ISO/IEC 27001:2022. For example, checking how each Information Security objective has been communicated to those who need to be aware of it in order for the objective to be achieved is relevant to verifying the communication aspect of clause 6.2; checking that there is a process in place to periodically revisit Information Security objectives, with a view to amending or cancelling them if circumstances necessitate this is relevant to verifying the updating aspect of clause 6.2; checking that the necessary budget, manpower and materials to achieve each objective has been determined is relevant to verifying the planning aspect of clause 6.2; checking that all the Information Security objectives are measurable. If they are not measurable the organisation will not be able to track progress against them is relevant to verifying the measurability aspect of clause 6.2. References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements

The correct statement which defines the content of the scope of the ISMS is that the ISMS scope should take any information security issues that have occurred and any interested parties’ requirements into consideration. According to ISO/IEC 27001:2022, the scope of the ISMS should be determined by considering the internal and external issues, the requirements and expectations of interested parties, the interfaces and dependencies between the organisation and other parties, and the information security risks. The scope of the ISMS should also be aligned with the strategic direction of the organisation and be appropriate to its purpose and context. The scope of the ISMS should not be limited by the government’s recommendation, nor exclude external service providers, nor be based on a single department or function, unless these are justified by the risk assessment and the needs and expectations of interested parties. References: = ISO/IEC 27001:2022, clause 4.3; PECB Candidate Handbook ISO 27001 Lead Auditor, page 15; ISO 27001 scope statement | How to set the scope of your ISMS - Advisera.

A legal technical expert (LTE) is a person who provides specific knowledge or expertise related to the legal aspects of the information security management system (ISMS) during a certification audit. The LTE is not an auditor, but a member of the audit team who supports the auditors in collecting and evaluating the audit evidence. The LTE is not responsible for evaluating the auditee’s legal knowledge, criticising the organisation’s legal compliance issues, or debating complex legal points with the auditee, as these tasks may be beyond the scope of the audit, or may compromise the objectivity and impartiality of the audit. The LTE is responsible for advising on legal checkpoints for the audit team, such as the applicable legal, regulatory, and contractual requirements, the relevant sources of information, the methods of verification, and the criteria of evaluation. The LTE is also responsible for verifying the legal status of the organisation, such as the registration, licensing, authorisation, or accreditation of the organisation, and the compliance with the relevant laws and regulations. References:

• What is the role of a technical expert in ISO audit?
• Roles, Responsibilities & Authorities for ISO 27001 5.3
• Guide to Become an ISO 27001 Lead Auditor

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 audit team stated that the risk of a significant defect occurring in Data Grid Inc.'s ISMS was low. This refers to "Control Risk," which is the risk that a misstatement could occur in any relevant assertion related to an ISMS and that the risk could not be prevented or detected on a timely basis by the organization's internal control systems.

References: ISO 19011:2018, Guidelines for auditing management systems

The PEOPLE controls are related to the human aspects of information security, such as roles and responsibilities, awareness and training, screening and contracts, and remote working. The auditor in training should review the following controls:

• Confidentiality and nondisclosure agreements (A): These are contractual obligations that bind the employees and contractors of the organisation to protect the confidentiality of the information they handle, especially the data of external clients. The auditor should check if these agreements are signed, updated, and enforced by the organisation. This control is related to clause A.7.2.1 of ISO/IEC 27001:2022.
• Information security awareness, education and training ©: These are activities that aim to enhance the knowledge, skills, and behaviour of the employees and contractors regarding information security. The auditor should check if these activities are planned, implemented, evaluated, and improved by the organisation. This control is related to clause A.7.2.2 of ISO/IEC 27001:2022.
• Remote working arrangements (D): These are policies and procedures that govern the information security aspects of working from locations other than the organisation’s premises, such as home or public places. The auditor should check if these arrangements are defined, approved, and monitored by the organisation. This control is related to clause A.6.2.1 of ISO/IEC 27001:2022.
• The conducting of verification checks on personnel (E): These are background checks that verify the identity, qualifications, and suitability of the employees and contractors who have access to sensitive information or systems. The auditor should check if these checks are conducted, documented, and reviewed by the organisation. This control is related to clause A.7.1.1 of ISO/IEC 27001:2022.

References:

• ISO/IEC 27001:2022, Information technology — Security techniques — Information security management systems — Requirements
• PECB Candidate Handbook ISO/IEC 27001 Lead Auditor, 1
• ISO 27001:2022 Lead Auditor - IECB, 2
• ISO 27001:2022 certified ISMS lead auditor - Jisc, 3
• ISO/IEC 27001:2022 Lead Auditor Transition Training Course, 4
• ISO 27001 - Information Security Lead Auditor Course - PwC Training Academy, 5

SendPay's inability to restore their services immediately after the contract termination indicates a lack of a comprehensive business continuity plan that addresses the potential impacts of such terminations. This oversight can result in significant operational disruptions, as observed.

References: ISO/IEC 27001:2013 Standard, Clause A.17 (Information security aspects of business continuity management)

The two statements that are valid audit conclusions are:

•The ISMS policy has been effectively communicated to the organisation

•The organisation’s ISMS objectives meet the requirements of ISO/IEC 27001:2022

According to ISO 19011:2018, an audit conclusion is the outcome of an audit, provided by the audit team after considering the audit objectives and all audit findings1. An audit conclusion can be positive or negative, depending on whether the audit criteria are fulfilled or not. An audit conclusion can also include recommendations for improvement or recognition of good practices.

The statements D and E are valid audit conclusions, because they express the outcome of the audit based on the audit criteria and findings. For example:

•Statement D is a positive audit conclusion, because it indicates that the organisation has fulfilled the requirement of clause 5.2.2 of ISO/IEC 27001:2022, which states that the ISMS policy must be communicated within the organisation and to relevant interested parties2. The audit team must have obtained sufficient and appropriate audit evidence to support this conclusion, such as records of communication, awareness activities, feedback, etc.

•Statement E is a positive audit conclusion, because it indicates that the organisation has fulfilled the requirement of clause 6.2 of ISO/IEC 27001:2022, which states that the organisation must establish ISMS objectives that are consistent with the ISMS policy and relevant to the information security risks3. The audit team must have obtained sufficient and appropriate audit evidence to support this conclusion, such as records of objective setting, risk assessment, alignment with policy, etc.

The other statements are not valid audit conclusions, because they do not express the outcome of the audit based on the audit criteria and findings. They are rather examples of audit findings, which are the results of the evaluation of the collected audit evidence against the audit criteria4. Audit findings can indicate either conformity or nonconformity with the audit criteria, or opportunities for improvement. For example:

•Statement A is a negative audit finding, because it indicates a nonconformity with the requirement of clause 7.2.2 of ISO/IEC 27001:2022, which states that the organisation must provide information security awareness education and training to persons under its control5. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement B is a negative audit finding, because it indicates a nonconformity with the requirement of clause 6.1.2 of ISO/IEC 27001:2022, which states that the organisation must maintain and review the information security risk assessment at planned intervals or when significant changes occur6. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement C is a negative audit finding, because it indicates a nonconformity with the requirement of clause 10.1 of ISO/IEC 27001:2022, which states that the organisation must take action to eliminate the causes of nonconformities and prevent recurrence7. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

•Statement F is a negative audit finding, because it indicates a nonconformity with the requirement of clause 6.1.3 of ISO/IEC 27001:2022, which states that the organisation must determine the controls that are necessary to implement the risk treatment plan, and document them in the statement of applicability8. The audit team must have identified and documented this nonconformity, and reported it to the auditee.

References: 1: ISO 19011:2018, 3.15; 2: ISO/IEC 27001:2022, 5.2.2; 3: ISO/IEC 27001:2022, 6.2; 4: ISO 19011:2018, 3.14; 5: ISO/IEC 27001:2022, 7.2.2; 6: ISO/IEC 27001:2022, 6.1.2; 7: ISO/IEC 27001:2022, 10.1; 8: ISO/IEC 27001:2022, 6.1.3; : ISO 19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO 19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

This scenario presents a risk related to the sample size. Examining only 15 out of 50 employee training records may not provide a fully representative view of the entire organization's adherence to the training and awareness requirements of ISO/IEC 27001. There is a risk that this sample size is not sufficient to justify a general conclusion about the entire organization.

References: ISO 19011:2018, Guidelines for auditing management systems

Jack compromised the audit principle of confidentiality by selling NightCore's information after the audit. Confidentiality ensures that information is accessible only to those authorized to have access and is protected throughout its lifecycle.

References: ISO 19011:2018, Guidelines for auditing management systems, principles of auditing

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According to ISO 27001:2022, the standard for information security management systems (ISMS), the correct sequence for the information security risk assessment process is as follows:

• Establish information security criteria
• Identify the information security risks
• Analyse the information security risks
• Evaluate the information security risks

The first step is to establish the information security criteria, which include the risk assessment methodology, the risk acceptance criteria, and the risk evaluation criteria. These criteria define how the organization will perform the risk assessment, what level of risk is acceptable, and how the risks will be compared and prioritized.

The second step is to identify the information security risks, which involve identifying the assets, threats, vulnerabilities, and existing controls that are relevant to the ISMS. The organization should also identify the potential consequences and likelihood of each risk scenario.

The third step is to analyse the information security risks, which involve estimating the level of risk for each risk scenario based on the criteria established in the first step. The organization should also consider the sources of uncertainty and the confidence level of the risk estimation.

The fourth step is to evaluate the information security risks, which involve comparing the estimated risk levels with the risk acceptance criteria and determining whether the risks are acceptable or need treatment. The organization should also prioritize the risks based on the risk evaluation criteria and the objectives of the ISMS.

References: ISO 27001:2022 Clause 6.1.2 Information security risk assessment, ISO 27001 Risk Assessment & Risk Treatment: The Complete Guide - Advisera, ISO 27001 Risk Assessment: 7 Step Guide - IT Governance UK Blog

• 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

The options that represent valid audit trails for assessing the organisation's application of control 5.7 - Threat Intelligence, according to ISO/IEC 27001:2022, are:

Option A: I will determine whether internal and external sources of information are used in the production of threat intelligence. This is relevant because effective threat intelligence typically requires gathering information from multiple sources to be comprehensive.

Option D: I will check that the organisation has a fully documented threat intelligence process. Proper documentation is a core requirement in ISO standards to ensure processes are defined, implemented, and maintained consistently.

Option E: I will check that threat intelligence is actively used to protect the confidentiality, integrity, and availability of the organisation's information assets. This verifies that the output of threat intelligence is being used effectively within the organisation's information security practices.

• B. 8.12 Data leakage protection. This is true because the auditee should have implemented measures to prevent unauthorized disclosure of sensitive information, such as personal data, medical records, or official documents, that are contained in the parcels. Data leakage protection could include encryption, authentication, access control, logging, and monitoring of data transfers12.
• D. 6.3 Information security awareness, education, and training. This is true because the auditee should have ensured that all employees and contractors involved in the shipping process are aware of the information security policies and procedures, and have received appropriate training on how to handle and protect the information assets in their custody. Information security awareness, education, and training could include induction programmes, periodic refreshers, awareness campaigns, e-learning modules, and feedback mechanisms13.
• E. 7.10 Storage media. This is true because the auditee should have implemented controls to protect the storage media that contain information assets from unauthorized access, misuse, theft, loss, or damage. Storage media could include paper documents, optical disks, magnetic tapes, flash drives, or hard disks14. Storage media controls could include physical locks, encryption, backup, disposal, or destruction14.
• F. 8.3 Information access restriction. This is true because the auditee should have implemented controls to restrict access to information assets based on the principle of least privilege and the need-to-know basis. Information access restriction could include identification, authentication, authorization, accountability, and auditability of users and systems that access information assets15.
• I. 7.4 Physical security monitoring. This is true because the auditee should have implemented controls to monitor the physical security of the premises where information assets are stored or processed. Physical security monitoring could include CCTV cameras, alarms, sensors, guards, or patrols16. Physical security monitoring could help detect and deter unauthorized physical access or intrusion attempts16.
• J. 5.13 Labelling of information. This is true because the auditee should have implemented controls to label information assets according to their classification level and handling instructions. Labelling of information could include markings, tags, stamps, stickers, or barcodes1 . Labelling of information could help identify and protect information assets from unauthorized disclosure or misuse1 .

References :=

• ISO/IEC 27002:2022 Information technology — Security techniques — Code of practice for information security controls
• ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements
• ISO/IEC 27003:2022 Information technology — Security techniques — Information security management systems — Guidance
• ISO/IEC 27004:2022 Information technology — Security techniques — Information security management systems — Monitoring measurement analysis and evaluation
• ISO/IEC 27005:2022 Information technology — Security techniques — Information security risk management
• ISO/IEC 27006:2022 Information technology — Security techniques — Requirements for bodies providing audit and certification of information security management systems
• [ISO/IEC 27007:2022 Information technology — Security techniques — Guidelines for information security management systems auditing]

According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, a certification body should ensure that its auditors are competent, impartial, and independent from the auditee organization2. Therefore, if a Management System Representative of a client organization asks for a specific auditor for the certification audit, the individual(s) managing the audit programme should respond in a way that does not compromise these principles or create any conflict of interest or undue influence2. Two possible ways to respond are to state that his request will be considered but may not be taken up, as there may be other factors that affect the auditor selection process; or to advise him that the audit team selection is a decision that the audit programme manager needs to make based on the resources available, such as auditor availability, competence, location, etc2. The other options are not suitable ways to respond in this situation. For example, advising him that his request can be accepted may raise doubts about the objectivity and credibility of the auditor and the certification body; suggesting that he chooses another certification body may imply that his request is unreasonable or unethical; and suggesting asking the certification body management to permit his request may suggest that there is room for negotiation or manipulation in auditor selection2. References: ISO/IEC 17021-1:2015 - Conformity assessment – Requirements for bodies providing audit and certification of management systems – Part 1: Requirements

• Risk analysis is the process by which the nature of the risk is determined along with its probability and impact. Risk analysis involves estimating the likelihood and consequences of potential events or situations that could affect the organization’s information security objectives or requirements12. Risk analysis could use qualitative or quantitative methods, or a combination of both12.
• Risk management is the process by which a risk is controlled at all stages of its life cycle by means of the application of organisational policies, procedures and practices. Risk management involves establishing the context, identifying, analyzing, evaluating, treating, monitoring, and reviewing the risks that could affect the organization’s information security performance or compliance12. Risk management aims to ensure that risks are identified and treated in a timely and effective manner, and that opportunities for improvement are exploited12.
• Risk identification is the process by which a risk is recognised and described. Risk identification involves identifying and documenting the sources, causes, events, scenarios, and potential impacts of risks that could affect the organization’s information security objectives or requirements12. Risk identification could use various techniques, such as brainstorming, interviews, checklists, surveys, or historical data12.
• Risk evaluation is the process by which the impact and/or probability of a risk is compared against risk criteria to determine if it is tolerable. Risk evaluation involves comparing the results of risk analysis with predefined criteria that reflect the organization’s risk appetite, tolerance, or acceptance12. Risk evaluation could use various methods, such as ranking, scoring, or matrix12. Risk evaluation helps to prioritize and decide on the appropriate risk treatment options12.
• Risk mitigation is the process by which the impact and/or probability of a risk is reduced by means of the application of controls. Risk mitigation involves selecting and implementing measures that are designed to prevent, reduce, transfer, or accept risks that could affect the organization’s information security objectives or requirements12. Risk mitigation could include various types of controls, such as technical, organizational, legal, or physical12. Risk mitigation should be based on a cost-benefit analysis and a residual risk assessment12.
• Risk transfer is the process by which a risk is passed to a third party, for example through obtaining appropriate insurance. Risk transfer involves sharing or shifting some or all of the responsibility or liability for a risk to another party that has more capacity or capability to manage it12. Risk transfer could include various methods, such as contracts, agreements, partnerships, outsourcing, or insurance12. Risk transfer should not be used as a substitute for effective risk management within the organization12.

References :=

• ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements
• ISO/IEC 27005:2022 Information technology — Security techniques — Information security risk management

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), control A.7.2 requires an organization to implement appropriate physical entry controls to prevent unauthorized access to secure areas1. The organization should define and document the criteria for granting and revoking access rights to secure areas, and should monitor and record the use of such access rights1. Therefore, when auditing the organization’s application of control A.7.2, an ISMS auditor should verify that these aspects are met in accordance with the audit criteria.

Based on the scenario above, the auditor should raise a nonconformity against control A.7.2, as the secure area is not adequately protected from unauthorized access. The auditor should provide the following evidence and justification for the nonconformity:

• Evidence: The auditor observed two external contractors using a swipe card and combination number provided by the centre’s reception desk to gain access to a client’s suite to carry out authorized electrical repairs. The auditor checked the door access record for the client’s suite and found that only one card was swiped. The auditor asked the receptionist and was told that it was a common problem that contractors tend to swipe one card and tailgate their way in, but they were known from the reception sign-in.
• Justification: This evidence indicates that the organization has not implemented appropriate physical entry controls to prevent unauthorized access to secure areas, as required by control A.7.2. The organization has not defined and documented the criteria for granting and revoking access rights to secure areas, as there is no verification or authorization process for providing swipe cards and combination numbers to external contractors. The organization has not monitored and recorded the use of access rights to secure areas, as there is no mechanism to ensure that each individual swipes their card and enters their combination number before entering a secure area. The organization has relied on the reception sign-in as a means of identification, which is not sufficient or reliable for ensuring information security.

The other options are not valid actions for auditing control A.7.2, as they are not related to the control or its requirements, or they are not appropriate or effective for addressing the nonconformity. For example:

• Take no action: This option is not valid because it implies that the auditor ignores or accepts the nonconformity, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines for auditing management systems.
• Raise a nonconformity against control A.5.20 ‘addressing information security in supplier relationships’ as information security requirements have not been agreed upon with the supplier: This option is not valid because it does not address the root cause of the nonconformity, which is related to physical entry controls, not supplier relationships. Control A.5.20 requires an organization to agree on information security requirements with suppliers that may access, process, store, communicate or provide IT infrastructure components for its information assets1. While this control may be relevant for ensuring information security in supplier relationships, it does not address the issue of unauthorized access to secure areas by external contractors.
• Raise a nonconformity against control A.7.6 ‘working in secure areas’ as security measures for working in secure areas have not been defined: This option is not valid because it does not address the root cause of the nonconformity, which is related to physical entry controls, not working in secure areas. Control A.7.6 requires an organization to define and apply security measures for working in secure areas1. While this control may be relevant for ensuring information security when working in secure areas, it does not address the issue of unauthorized access to secure areas by external contractors.
• Determine whether any additional effective arrangements are in place to verify individual access to secure areas e.g. CCTV: This option is not valid because it does not address or resolve the nonconformity, but rather attempts to find alternative or compensating controls that may mitigate its impact or likelihood. While additional arrangements such as CCTV may be useful for verifying individual access to secure areas, they do not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
• Raise an opportunity for improvement that contractors must be accompanied at all times when accessing secure facilities: This option is not valid because it does not address or resolve the nonconformity, but rather suggests a possible improvement action that may prevent or reduce its recurrence or severity. While accompanying contractors at all times when accessing secure facilities may be a good practice for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
• Raise an opportunity for improvement to have a large sign in reception reminding everyone requiring access must use their swipe card at all times: This option is not valid because it does not address or resolve the nonconformity, but rather suggests a possible improvement action that may increase awareness or compliance with the existing controls. While having a large sign in reception reminding everyone requiring access must use their swipe card at all times may be a helpful reminder for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.
• Tell the organisation they must write to their contractors, reminding them of the need to use access cards appropriately: This option is not valid because it does not address or resolve the nonconformity, but rather instructs the organization to take a corrective action that may not be effective or sufficient for ensuring information security. While writing to contractors, reminding them of the need to use access cards appropriately may be a communication measure for ensuring information security, it does not replace or substitute the requirement for appropriate physical entry controls as specified by control A.7.2.

References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements, ISO 19011:2018 - Guidelines for auditing management systems

Phishing is a type of information security incident that falls under the category of cracker/hacker attacks. Phishing is a form of fraud that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. Phishing is a common and serious threat to information security, as it can lead to identity theft, financial loss, data breach, malware infection or other damages. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2). References: 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 Phishing?

Sinvestment should correct the identified issue related to the lack of documentation on information security training and awareness before the stage 2 audit. Addressing this gap promptly ensures that the ISMS is fully compliant and effective when assessed in the subsequent audit stage.

References: ISO/IEC 27001:2013, Clause 7.2 (Competence)

Yes, the audit team should obtain approval from Lawsy before photocopying documents. This is a best practice to ensure that the auditee agrees to the duplication of documents, which might contain sensitive or confidential information. Although auditors can observe and note down information, copying documents typically requires explicit permission to maintain trust and ensure compliance with confidentiality agreements.

References: ISO 19011:2018, Guidelines for auditing management systems

Detection risk refers to the risk that the auditor will not detect a material misstatement or significant issue within the organization's ISMS. In this case, the auditor's inability to identify Company A's insecure network architecture is a detection risk.

References: ISO 19011:2018, Guidelines for auditing management systems

The benefits of implementing an ISMS are not limited to a reduction in information security risks, but also include improved business performance, customer satisfaction, legal compliance, and stakeholder confidence. The benefit of certifying an ISMS is not only to obtain contracts from governmental institutions, but also to demonstrate the organisation’s commitment to information security to other potential customers, partners, and regulators. The purpose of an ISMS is to apply a risk management process for preserving information security, which means identifying, analysing, evaluating, treating, monitoring, and reviewing the information security risks that the organisation faces. The purpose of an ISMS is not to demonstrate compliance with regulatory requirements, but rather to ensure that the organisation meets its own information security objectives and obligations.

References:

• ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB
• ISO/IEC 27001:2013 Information technology — Security techniques — Information security management systems — Requirements [Section 0.1] and [Section 1]

You see a blue color sticker on certain physical assets. This signifies that the asset is high critical and its failure will affect a group/s/project’s work in the organization. A blue color sticker is a type of label that indicates the level of criticality of an asset, which is a measure of how important an asset is for the organization’s operations and objectives. A high critical asset is an asset that has a significant impact on the organization’s activities, and its loss or damage would cause major disruption or loss of service. A blue color sticker also implies that the asset requires a high level of protection and security, and should be handled with care. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 36. : [ISO/IEC 27001 Brochures | PECB], page 6.

The Plan-Do-Check-Act (PDCA) cycle is a four-step method for implementing and improving processes, products, or services. The “plan” phase involves establishing the objectives and processes necessary to deliver the desired results. This may include setting SMART goals, identifying resources, defining roles and responsibilities, conducting risk assessments, and developing plans for training, communication, and monitoring.

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]

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

• Review is the third stage of the Plan-Do-Check-Act (PDCA) cycle, which is a four-step model for implementing and improving an information security management system (ISMS) according to ISO/IEC 27001:202212. Review involves assessing and measuring the performance of the ISMS against the established policies, objectives, and criteria12.
• Assess is the verb that describes the action of reviewing the ISMS. Assess means to evaluate, analyze, or measure something in a systematic and objective manner3. Assessing the ISMS involves collecting and verifying audit evidence, identifying strengths and weaknesses, and determining the degree of conformity or nonconformity12.
• Regular is the adjective that describes the frequency or interval of reviewing the ISMS. Regular means occurring or done at fixed or uniform intervals4. Reviewing the ISMS at regular intervals means conducting internal audits and management reviews periodically, such as annually, quarterly, or monthly, depending on the needs and risks of the organization12.
• Suitability is one of the attributes that describes the quality or outcome of reviewing the ISMS. Suitability means being appropriate or fitting for a particular purpose, person, or situation5. Reviewing the ISMS for suitability means ensuring that it is aligned with the organization’s strategic direction, business objectives, and information security requirements12.

References :=

• ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements
• ISO/IEC 27003:2022 Information technology — Security techniques — Information security management systems — Guidance
• Assess | Definition of Assess by Merriam-Webster
• Regular | Definition of Regular by Merriam-Webster
• Suitability | Definition of Suitability by Merriam-Webster

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.

References: ISO 19011:2018, Guidelines for auditing management systems

By using illegal versions of software, NightCore ignored the control about intellectual property rights under Annex A.8.1.1 of ISO/IEC 27001, which requires the protection of organizational records to include intellectual property and personal information held in the form of data or software.

References: ISO/IEC 27001:2013 Standard, Annex A.8.1.1 (Responsibility for assets)

The definition of information that is not correct is C: mature and measurable data. This is not a valid definition of information, as information does not have to be mature or measurable to be considered as such. Information can be any data that has meaning or value for someone or something in a certain context. Information can be subjective, qualitative, incomplete or uncertain, depending on how it is interpreted or used. Mature and measurable data are characteristics that may apply to some types of information, but not all. The other definitions of information are correct, as they describe different aspects of information, such as accuracy and timeliness (A), specificity and organization (B), and understanding and uncertainty reduction (D). ISO/IEC 27001:2022 defines information as “any data that has meaning” (see clause 3.25). References: 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 Information?

According to ISO 27001:2022 clause 4.1, the organisation shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system (ISMS)12

External issues are factors outside the organisation that it cannot control, but can influence or adapt to. They include political, economic, social, technological, legal, and environmental factors that may affect the organisation’s information security objectives, risks, and opportunities12

Internal issues are factors within the organisation that it can control or change. They include the organisation’s structure, culture, values, policies, objectives, strategies, capabilities, resources, processes, activities, relationships, and performance that may affect the organisation’s information security management system12

Therefore, the following issues are considered ‘internal’ in the context of a management system to ISO 27001:2022:

• Poor levels of staff competence as a result of cuts in training expenditure: This is an internal issue because it relates to the organisation’s capability, resource, and process of developing and maintaining the competence of its personnel involved in the ISMS. The organisation can control or change its training expenditure and its impact on staff competence12
• Poor morale as a result of staff holidays being reduced: This is an internal issue because it relates to the organisation’s culture, value, and relationship with its employees. The organisation can control or change its staff holiday policy and its impact on staff morale12
• Increased absenteeism as a result of poor management: This is an internal issue because it relates to the organisation’s performance, structure, and accountability of its management. The organisation can control or change its management practices and its impact on staff absenteeism12
• A fall in productivity linked to outdated production equipment: This is an internal issue because it relates to the organisation’s capability, resource, and process of ensuring the availability and suitability of its production equipment. The organisation can control or change its equipment maintenance and upgrade and its impact on productivity12

The following issues are considered ‘external’ in the context of a management system to ISO 27001:2022:

• Higher labour costs as a result of an aging population: This is an external issue because it relates to the social and demographic factor that affects the availability and cost of labour in the market. The organisation cannot control or change the aging population, but can influence or adapt to its impact on labour costs12
• A rise in interest rates in response to high inflation: This is an external issue because it relates to the economic and monetary factor that affects the cost and availability of capital in the market. The organisation cannot control or change the interest rates or inflation, but can influence or adapt to its impact on capital costs12
• A reduction in grants as a result of a change in government policy: This is an external issue because it relates to the political and legal factor that affects the availability and conditions of public funding for the organisation. The organisation cannot control or change the government policy, but can influence or adapt to its impact on grants12
• Inability to source raw materials due to government sanctions: This is an external issue because it relates to the political and legal factor that affects the availability and cost of raw materials in the market. The organisation cannot control or change the government sanctions, but can influence or adapt to its impact on raw materials12

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

The use of probability theory in the sample selection process indicates that "statistical sampling" was used. Statistical sampling allows auditors to make inferences about the population based on the properties of the sample, relying on the principles of probability to select representative elements.

References: ISO 19011:2018, Guidelines for auditing management systems

Risk modification involves implementing controls to reduce the likelihood or impact of a risk. By replacing FTP with SSH, Knight has modified the risk associated with the transfer of files by ensuring that the data is encrypted, thereby reducing the likelihood of unauthorized access through traffic capturing1. References: = This answer is based on the standard risk treatment options provided in ISO/IEC 27001, which include avoiding, modifying, sharing, or retaining risks as part of the risk management process

The correct sequence of activities is:

• Establish the management system
• Plan the audit programme
• Conduct internal audits
• Hold a Management Review
• Engage a Certification Body for stage 1 and stage 2 audits
• Complete any corrective actions

Comprehensive but Short Explanation: = According to the PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, the steps for achieving certification are as follows1:

• Establish the management system: This involves defining the scope, objectives, policies, procedures, and controls of the ISMS, as well as ensuring the availability of resources and top management commitment.
• Plan the audit programme: This involves defining the audit objectives, criteria, scope, frequency, methods, and responsibilities for conducting internal audits of the ISMS.
• Conduct internal audits: This involves verifying the conformity and effectiveness of the ISMS, as well as identifying any nonconformities or opportunities for improvement.
• Hold a Management Review: This involves reviewing the performance and suitability of the ISMS, as well as deciding on any changes or actions needed to improve it.
• Engage a Certification Body for stage 1 and stage 2 audits: This involves selecting a reputable and accredited certification body to conduct an external audit of the ISMS, consisting of two stages: a documentation review and an on-site assessment.
• Complete any corrective actions: This involves addressing any nonconformities or findings identified by the certification body, and providing evidence of their implementation and effectiveness.

References: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, pages 25-26.

The best way to dispose of a hard copy of a customer design document is to shred it using a shredder. This is because shredding ensures that the document is destroyed and cannot be reconstructed or accessed by unauthorized persons. A customer design document may contain sensitive or confidential information that could cause harm or damage to the customer or the organization if disclosed. Therefore, it is important to protect the confidentiality and integrity of the document until it is securely disposed of. Throwing it in any dustbin, giving it to the office boy to reuse it for other purposes, or reusing it for writing are not secure ways of disposing of the document, as they could expose the document to unauthorized access, theft, loss or damage. ISO/IEC 27001:2022 requires the organization to implement procedures for the secure disposal of media containing information (see clause A.8.3.2). References: 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 Secure Disposal?