Sep-2025 PECB ISO-IEC-27001-Lead-Auditor Actual Questions and Braindumps [Q127-Q146]

NO.127 You are a certification body auditor, conducting a surveillance audit to ISO/IEC 27001:2022 of a data centre operated by a client who provides hosting services for ICT facilities.
You and your guide are currently in one of the private suites that the client rents out to customers. Access to each suite is controlled using a combination lock. CCTV is also installed in every suite.
Within each suite are three data cabinets in which the client can locate mission-critical servers and other items of networking equipment such as switches and routers.
You notice that whilst two of the cabinets in your suite are locked, the third is unlocked. You ask the guide why. They reply “This is because the client is currently swapping out a hard drive unit. Their technician is currently on a lunch break”.
What three actions should you undertake next?

Do nothing, the room appears adequately protected so it is unlikely that a security incident has taken place.

Raise a nonconformity against control 5.16 ‘identity management’ as it may not be possible to identify who left the cabinet unlocked.

Raise a nonconformity against control 7.2 ‘physical entry’ as the area where the client’s equipment is located is not protected.

Raise a nonconformity against control 7.4 ‘physical security monitoring’ as the private suite is not being continuously monitored for unauthorised physical access.

Raise an opportunity for improvement suggesting cabinet doors are locked whenever clients leave their suites, even if they intend to return within a short time.

Review the CCTV records to ensure that only the client has accessed the cabinet since it was last confirmed as locked.

When the technician returns from lunch, reprimand them for leaving the cabinet open.

With the permission of the guide, speak to the customer to confirm that they are in the process of swapping out a drive.

NO.128 You are performing an ISMS audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to verify that the Statement of Applicability (SoA) contains the necessary controls.
You review the latest SoA (version 5) document, sampling the access control to the source code (A.8.4), and want to know how the organisation secures ABC’s healthcare mobile app source code received from an outsourced software developer.
The IT Security Manager explains the received source code will be checked into the SCM system to make sure of its integrity and security. Only authorised users will be able to check out the software to update it. Both check-in and check-out activities will be logged by the system automatically. The version control is managed by the system automatically.
You found a total of 10 user accounts on the SCM. All of them are from the IT department. You further check with the Human Resource manager and confirm that one of the users, Scott, resigned 9 months ago. The SCM System Administrator confirmed Scott’s last check-out of the source code was found 1 month ago. He was using one of the authorised desktops from the local network in a secure area.
You check the user de-registration procedure which states “Managers have to make sure of deregistration of the user account and authorisation immediately from the relevant ICT system and/or equipment after resignation approval.” There was no deregistration record for user Scott.
The IT Security Manager explains that Scott is a very good software engineer, an ex-colleague, and a friend.
He still comes back to the office every month after he resigned to provide support on source code maintenance. That’s why his account on SCM still exists. “We know Scott well and he passed all our background checks when he joined us. As such we didn’t feel it necessary to agree any further information security requirements with him just because he is now an external provider”.
You prepare the audit findings. Select the three correct options.

There is a nonconformity (NC). Scott should have been advised of applicable information security requirements relevant to his new relationship (external provider) with the nursing home. The IT security manager has however confirmed that this did not take place. This does not conform with control A.5.20.

There is a nonconformity (NC). The organisation’s access control arrangements are not operating effectively as an individual who is no longer employed by the organisation is being permitted to access the nursing home’s ICT systems. This does not conform with control A.5.15.

There is a nonconformity (NC). The IT Security manager did not make sure the user account for Scott was removed from the SCM and did not complete the user deregistration process after the resignation.
This does not conform with clause 9.1 and control A.5.15.

There is a nonconformity (NC). The operating procedures are not well documented. This prevented the SCM System Administrator from being able to remove a user account immediately. This does not conform with clause 9.1 and control A.5.37.

There is a nonconformity (NC). The organisation does not have a documented procedure setting out the use of systematic tools to provide access and version control of the source code. This does not conform with clause 9.1 and control A.8.4.

There is a nonconformity (NC). The organisation has failed to identify the security risks associated with leaving Scott’s account open when he was only re-engaged for a short period monthly. This does not conform with clause 8.2.

There is a nonconformity (NC). The SCM is open-source system software. It is not secured and cannot be used for access and version control of the source code. This does not conform with clause 9.1 and control A.8.4.

There is a nonconformity (NC). The SCM will log the source code check-in/-out activities automatically. If something goes wrong, the team might not be able to trace it. This does not conform with clause 9.1 and control A.8.4.

Erläuterung
The correct options are:
There is a nonconformity (NC). The organisation’s access control arrangements are not operating effectively as an individual who is no longer employed by the organisation is being permitted to access the nursing home’s ICT systems. This does not conform with control A.5.15. (B): This option is correct because control A.5.15 requires the organization to implement secure log-on procedures and manage user access rights. The organization should ensure that only authorized users can access the ICT systems and that the access rights are revoked or modified when the user status changes. The fact that Scott, who resigned 9 months ago, still has an active account on the SCM and can check out the source code, indicates a failure of the access control arrangements and a nonconformity with the control A.5.15.
There is a nonconformity (NC). The IT Security manager did not make sure the user account for Scott was removed from the SCM and did not complete the user deregistration process after the resignation. This does not conform with clause 9.1 and control A.5.15. : This option is correct because clause 9.1 requires the organization to monitor, measure, analyze, and evaluate the performance and effectiveness of the ISMS. The organization should have processes and indicators to verify that the ISMS requirements and objectives are met and that the ISMS is continually improved. The organization should also ensure that the results of the monitoring and measurement are documented and communicated. The fact that the IT Security manager did not follow the user de-registration procedure and did not document or communicate the exception for Scott, indicates a failure of the monitoring and measurement processes and a nonconformity with clause 9.1 and control A.5.15.
There is a nonconformity (NC). The organisation has failed to identify the security risks associated with leaving Scott’s account open when he was only re-engaged for a short period monthly. This does not conform with clause 8.2. (F): This option is correct because clause 8.2 requires the organization to establish and maintain an information security risk management process. The organization should identify the information security risks, analyze and evaluate the risks, and treat the risks according to the risk criteria and the risk treatment options. The organization should also monitor and review the risks and the risk treatment plan periodically and document the results. The fact that the organization did not identify the security risks associated with Scott’s access to the SCM and the source code, such as unauthorized disclosure, modification, or deletion of the information, indicates a failure of the risk management process and a nonconformity with clause 8.2.

NO.129 You are an ISMS audit team leader preparing to chair a closing meeting following a third-party surveillance audit. You are drafting a closing meeting agenda setting out the topics you wish to discuss with your auditee.
Which one of the following would be appropriate for inclusion?

A detailed explanation of the certification body’s complaints process

An explanation of the audit plan and its purpose

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

Names of auditees associated with nonconformities

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

NO.130 Scenario 9: UpNet, a networking company, has been certified against ISO/IEC 27001. It provides network security, virtualization, cloud computing, network hardware, network management software, and networking technologies.
The company’s recognition has increased drastically since gaining ISO/IEC 27001 certification. The certification confirmed the maturity of UpNefs operations and its compliance with a widely recognized and accepted standard.
But not everything ended after the certification. UpNet continually reviewed and enhanced its security controls and the overall effectiveness and efficiency of the ISMS by conducting internal audits. The top management was not willing to employ a full-time team of internal auditors, so they decided to outsource the internal audit function. This form of internal audits ensured independence, objectivity, and that they had an advisory role about the continual improvement of the ISMS.
Not long after the initial certification audit, the company created a new department specialized in data and storage products. They offered routers and switches optimized for data centers and software-based networking devices, such as network virtualization and network security appliances. This caused changes to the operations of the other departments already covered in the ISMS certification scope.
Therefore. UpNet initiated a risk assessment process and an internal audit. Following the internal audit result, the company confirmed the effectiveness and efficiency of the existing and new processes and controls.
The top management decided to include the new department in the certification scope since it complies with ISO/IEC 27001 requirements. UpNet announced that it is ISO/IEC 27001 certified and the certification scope encompasses the whole company.
One year after the initial certification audit, the certification body conducted another audit of UpNefs ISMS. This audit aimed to determine the UpNefs ISMS fulfillment of specified ISO/IEC 27001 requirements and ensure that the ISMS is being continually improved. The audit team confirmed that the certified ISMS continues to fulfill the requirements of the standard. Nonetheless, the new department caused a significant impact on governing the management system. Moreover, the certification body was not informed about any changes. Thus, the UpNefs certification was suspended.
Based on the scenario above, answer the following question:
UpNet outsourced the internal audit function, as provided in scenario 9. Does it impact the internal audit process?

No, internal audits do not necessarily have to be independent and objective because they have an advisory role

No, because the internal audit process can comprise more than an audit program

Yes, it increases the independence and impartiality of the internal audit because auditors do not have operational roles related to the ISMS

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

You ask the IT Manager why the organisation still uses the mobile app while personal data encryption and pseudonymization tests failed. Also, whether the Service Manager is authorised to approve the test.
The IT Manager explains the test results should be approved by him according to the software security management procedure.
The reason why the encryption and pseudonymisation functions failed is that these functions heavily slowed down the system and service performance. An extra 150% of resources are needed to cover this. The Service Manager agreed that access control is good enough and acceptable. That’s why the Service Manager signed the approval.
You are preparing the audit findings. Select the correct option.

There is NO nonconformity (NC). The Service Manager makes a good decision to continue the service.
(Relevant to clause 8.1, control A.8.30)

There is a nonconformity (NC). The organisation and developer do not perform acceptance tests.
(Relevant to clause 8.1, control A.8.29)

There is a nonconformity (NC). The organisation and developer perform security tests that fail.
(Relevant to clause 8.1, control A.8.29)

There is a nonconformity (NC). The Service Manager does not comply with the software security management procedure. (Relevant to clause 8.1, control A.8.30)

NO.132 How is the purpose of information security policy best described?

An information security policy documents the analysis of risks and the search for countermeasures.

An information security policy provides direction and support to the management regarding information security.

An information security policy makes the security plan concrete by providing it with the necessary details.

An information security policy provides insight into threats and the possible consequences.

NO.133 Which one option best describes the purpose of retaining documented information related to the Information Security Management System (ISMS) of an organisation?

To ensure that all workers will follow the established procedure.

To show compliance with legal requirements.

To show objective evidence to third-party auditors.

To the extent necessary, to have confidence that the processes have been carried out as planned.

NO.134 You are performing an ISO 27001 ISMS surveillance audit at a residential nursing home, ABC Healthcare Services. ABC uses a healthcare mobile app designed and maintained by a supplier, WeCare, to monitor residents’ well-being. During the audit, you learn that 90% of the residents’ family members regularly receive medical device advertisements from WeCare, by email and SMS once a week. The service agreement between ABC and WeCare prohibits the supplier from using residents’ personal dat a. ABC has received many complaints from residents and their family members.
The Service Manager says that the complaints were investigated as an information security incident which found that they were justified.
Corrective actions have been planned and implemented according to the nonconformity and corrective action management procedure.
You write a nonconformity “ABC failed to comply with information security control A.5.34 (Privacy and protection of PII) relating to the personal data of residents’ and their family members. A supplier, WeCare, used residents’ personal information to send advertisements to family members.” Select three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity.

ABC asks an ISMS consultant to test the ABC Healthcare mobile app for protection against cyber-crime.

ABC cancels the service agreement with WeCare.

ABC confirms that information security control A.5.34 is contained in the Statement of Applicability (SoA).

ABC discontinues the use of the ABC Healthcare mobile app.

ABC introduces background checks on information security performance for all suppliers.

ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.

ABC takes legal action against WeCare for breach of contract.

ABC trains all staff on the importance of maintaining information security protocols.

The three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity are:
B . ABC cancels the service agreement with WeCare.
E . ABC introduces background checks on information security performance for all suppliers.
F . ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.
B . This option is a possible correction and corrective action that ABC could take to address the nonconformity. A correction is the action taken to eliminate a detected nonconformity, while a corrective action is the action taken to eliminate the cause of a nonconformity and to prevent its recurrence1. By cancelling the service agreement with WeCare, ABC could stop the unauthorized use of residents’ personal data and protect their privacy and rights. This could also prevent further complaints and legal issues from the residents and their family members. However, this option may also have some drawbacks, such as the loss of a service provider, the need to find an alternative solution, and the potential impact on the residents’ well-being.
E . This option is a possible corrective action that ABC could take to address the nonconformity. By introducing background checks on information security performance for all suppliers, ABC could ensure that they select and work with reliable and trustworthy partners who respect the confidentiality, integrity, and availability of the information they handle. This could also help ABC to comply with information security control A.15.1.1 (Information security policy for supplier relationships), which requires the organisation to agree and document information security requirements for mitigating the risks associated with supplier access to the organisation’s assets2.
F . This option is a possible corrective action that ABC could take to address the nonconformity. By periodically monitoring compliance with all applicable legislation and contractual requirements involving third parties, ABC could verify that the suppliers are fulfilling their obligations and responsibilities regarding information security. This could also help ABC to comply with information security control A.18.1.1 (Identification of applicable legislation and contractual requirements), which requires the organisation to identify, document, and keep up to date the relevant legislative, regulatory, contractual, and other requirements to which the organisation is subject3.
Referenz:
1: ISO 27000:2018 – Information technology – Security techniques – Information security management systems – Overview and vocabulary, clause 3.9 and 3.10 2: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, Annex A, control A.15.1.1 3: ISO/IEC 27001:2022 – Information technology – Security techniques – Information security management systems – Requirements, Annex A, control A.18.1.1

NO.135 Select the words that best complete the sentence:
“The purpose of maintaining regulatory compliance in a management system is to To complete the sentence with the best word(s), click on the blank section you want to complete so that it is highlighted in red, and then click on the applicable text from the options below. Alternatively, you may drag and drop the option to the appropriate blank section.

NO.136 Which six of the following actions are the individual(s) managing the audit programme responsible for?

Selecting the audit team

Retaining documented information of the audit results

Defining the objectives, scope and criteria for an individual audit

Defining the plan of an individual audit

Establishing the extent of the audit programme

Establishing the audit programme

Determining the resources necessary for the audit programme

Communicating with the auditee during the audit

NO.137 You are an experienced audit team leader guiding an auditor in training.
Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the PEOPLE controls listed in the Statement of Applicability (SoA) and implemented at the site.
Select four controls from the following that would you expect the auditor in training to review.

Confidentiality and nondisclosure agreements

How protection against malware is implemented

Information security awareness, education and training

Remote working arrangements

The conducting of verification checks on personnel

The operation of the site CCTV and door control systems

The organisation’s arrangements for information deletion

The organisation’s business continuity arrangements

The four controls from the list that the auditor in training should review are:
*A. Confidentiality and nondisclosure agreements: This control requires the organisation to ensure that all employees, contractors, and third parties who have access to sensitive information sign appropriate agreements that oblige them to protect the confidentiality and integrity of such information. This is especially important for an organisation that stores data on behalf of external clients, as it demonstrates its commitment to safeguarding their information assets and complying with their contractual obligations.
*C. Information security awareness, education and training: This control requires the organisation to provide regular and relevant information security awareness, education and training to all employees, contractors, and third parties who have access to the organisation’s information systems and information assets. This is essential for ensuring that they are aware of their roles and responsibilities, the information security policies and procedures, the potential threats and risks, and the best practices for preventing and responding to information security incidents.
*D. Remote working arrangements: This control requires the organisation to establish and implement policies and procedures for managing the information security risks associated with remote working arrangements, such as teleworking, mobile working, or working from home. This includes defining the conditions and requirements for remote working, such as the authorised devices, applications, and networks, the encryption and authentication methods, the backup and recovery procedures, and the reporting and monitoring mechanisms. This is important for an organisation that stores data on behalf of external clients, as it ensures that the information security level is maintained regardless of the location of the workers and the devices they use.
*E. The conducting of verification checks on personnel: This control requires the organisation to conduct appropriate verification checks on the background, qualifications, and references of all employees, contractors, and third parties who have access to the organisation’s information systems and information assets. This is necessary for verifying their identity, suitability, and trustworthiness, and for preventing the hiring of unauthorised or malicious individuals who could compromise the information security of the organisation and its clients.
References: = ISO/IEC 27001:2022, Annex A, clauses A.5.7, A.7.2, A.7.3, and A.7.4; ISO 27001 People Controls: How personnel ensures information security; What are the 11 new security controls in ISO
27001:2022? – Advisera.

NO.138 What is the worst possible action that an employee may receive for sharing his or her password or access with others?

Forced roll off from the project

The lowest rating on his or her performance assessment

Three days suspension from work

Termination

NO.139 You have just completed a scheduled information security audit of your organisation when the IT Manager approaches you and asks for your assistance in the revision of the company’s risk management process.
He is attempting to update the current documentation to make it easier for other managers to understand, however, it is clear from your discussion he is confusing several key terms.
You ask him to match each of the descriptions with the appropriate risk term. What should the correct answers be?

NO.140 Auditor competence is a combination of knowledge and skills. Which two of the following activities are predominately related to “knowledge”?

Understanding how to identify findings

Designing a checklist

Follow an audit trail deviating from the prepared checklist

Communicate with the auditee

Determining how to seek evidence from the auditee

Determining what evidence to gather

NO.141 You are an experience ISMS audit team leader carrying out a third-party certification audit of an organization specialising in the secure disposal of confidential documents and removable media. Both documents and media are shredded in military grade devices which make it impossible to reconstruct the original.
The audit has gone well and you are just about to start to write the audit report, 30 minutes before the closing meeting. At this point one of the organization’s employees knocks on your door and asks if they can speak to you. They tell you that when things get busy her manager tells her to use a lower grade industrial shredder instead as the organisation has more of these and they operate faster. You were not informed about the existence or use of these machines by the auditee.
Select three options for how you should respond to this information.

Advise the individual managing the audit programme of any recommendation by you to conduct a further auditprior to certification

Cancel the production of the audit report and instead review the organization’s contracts with its clients to determine whether they have permitted the use of lower grade machines

Consider the need for a subsequent audit within 4 weeks based on the additional information that has come to light

Do nothing. All audits are based on a sample and the sample you took did not include a planned review of the lower grade machines

Extend the certification audit duration to create additional time to audit the use of the lower grade machines

Raise a nonconformity against 8.1 Operational Planning and Control as the organization has not been open about its processes

Verify with the auditee that lower grade machines are used in certain circumstances

According to ISO/IEC 27001:2022 clause 8.1, the organization must plan, implement and control the processes needed to meet the information security requirements, and to implement the actions determined in clause 6.1. The organization must also ensure that the outsourced processes are controlled or influenced.
According to control A.5.24, the organization must establish and maintain an information security incident management process that includes reporting information security events and weaknesses. Therefore, the use of lower grade machines for the secure disposal of confidential documents and media could pose a significant information security risk and a potential breach of contract with the clients. The auditor should respond to this information by:
A. Advising the individual managing the audit programme of any recommendation by you to conduct a further audit prior to certification. This is in accordance with ISO/IEC 27006:2022 clause 7.4.3, which states that the audit team leader shall report to the certification body any situation that may significantly affect the audit conclusions or the certification decision, and propose any necessary changes to the audit plan.
C. Considering the need for a subsequent audit within 4 weeks based on the additional information that has come to light. This is in accordance with ISO/IEC 27006:2022 clause 7.5.2, which states that the audit team leader shall review the audit findings and any other appropriate information collected during the audit to determine the audit conclusions, and to identify any need for a subsequent audit.
G. Verifying with the auditee that lower grade machines are used in certain circumstances. This is in accordance with ISO/IEC 27006:2022 clause 7.4.2, which states that the audit team leader shall ensure that the audit is conducted in accordance with the audit plan, and that any changes to the plan are agreed upon and documented.
The other options are not appropriate responses, as they either ignore the information, exceed the scope of the audit, or prematurely raise a nonconformity without sufficient evidence. For example:
B. Cancelling the production of the audit report and instead reviewing the organization’s contracts with its clients to determine whether they have permitted the use of lower grade machines. This is not a suitable response, as it would delay the audit process and the certification decision, and it would involve reviewing documents that are outside the scope of the ISMS audit. The auditor should focus on verifying the information security risk assessment and treatment process, and the information security incident management process, as they relate to the use of lower grade machines.
D. Doing nothing. All audits are based on a sample and the sample you took did not include a planned review of the lower grade machines. This is not a suitable response, as it would disregard a significant information security risk and a potential nonconformity that could affect the audit conclusions and the certification decision. The auditor should follow up on the information provided by the employee and verify its validity and impact.
E. Extending the certification audit duration to create additional time to audit the use of the lower grade machines. This is not a suitable response, as it would disrupt the audit schedule and the availability of the audit team and the auditee. The auditor should report the situation to the certification body and propose any necessary changes to the audit plan, such as conducting a subsequent audit.
F. Raising a nonconformity against 8.1 Operational Planning and Control as the organization has not been open about its processes. This is not a suitable response, as it would be based on a single source of information that has not been verified or corroborated. The auditor should collect sufficient and appropriate audit evidence to support any nonconformity, and should also consider the root cause and the severity of the nonconformity.
Referenzen:
ISO/IEC 27001:2022, clauses 8.1 and Annex A control A.5.24
ISO/IEC 27006:2022, clauses 7.4.2, 7.4.3, and 7.5.2
[PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 18-19, 23-24 A Step-by-Step Guide to Conducting an ISO 27001 Internal Audit ISO 27001 – Annex A.16: Information Security Incident Management

NO.142 Integrity of data means

Accuracy and completeness of the data

Data should be viewable at all times

Data should be accessed by only the right people

NO.143 Which two of the following options are an advantage of using a sampling plan for the audit?

Overrules the auditor’s instincts

Reduces the audit duration

Prevents conflict within the audit team

Gives confidence in the audit results

Implements the audit plan efficiently

Use of the plan for consecutive audits

NO.144 A marketing agency has developed its risk assessment approach as part of the ISMS implementation. Is this acceptable?

Yes, any risk assessment methodology that complies with the ISO/IEC 27001 requirements can be used

Yes, only if the risk assessment methodology is aligned with recognized risk assessment methodologies

No, the risk assessment methodology provided by ISO/IEC 27001 should be used when implementing an ISMS

NO.145 ISMS (1)—————helps determine (2)————–,

(1) Continual improvement, (2) the effectiveness of corrective actions

Q (1) Management review, (2) opportunities for continual improvement

(1) Internal audit, (2) the ISMS scope

NO.146 You are an experienced ISMS audit team leader who is currently conducting a third party initial certification audit of a new client, using ISO/IEC 27001:2022 as your criteria.
It is the afternoon of the second day of a 2-day audit, and you are just about to start writing your audit report. So far no nonconformities have been identified and you and your team have been impressed with both the site and the organisation’s ISMS.
At this point, a member of your team approaches you and tells you that she has been unable to complete her assessment of leadership and commitment as she has spent too long reviewing the planning of changes.
Which one of the following actions will you take in response to this information?

Apologise to the client and tell them you will return at a later date to review leadership and commitment.

Suggest to the client that if they are prepared to upgrade your return flight to first class you will audit leadership and commitment in your own time tomorrow.

Advise the auditee and audit client that it is not possible to make a positive recommendation at this point.

Advise the auditee that the certification audit will need to be terminated and rescheduled.

Contact the individual managing the audit programme and seek their permission to record a positive recommendation in the audit report.

Contact your head office and await their further instructions of how to proceed.

Given there have been no nonconformities identified and the overall impression of the organisation has been a good one, record a positive recommendation for certification in the audit report.