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PECB Certified ISO/IEC 27001 Lead Auditor exam ISO-IEC-27001-Lead-Auditor Prüfungsfragen mit Lösungen (Q354-Q359):
354. Frage
Which is the glue that ties the triad together
- A. Collaboration
- B. Process
- C. Technology
- D. People
Antwort: C
Begründung:
The triad refers to the three elements of information security: confidentiality, integrity and availability3. Technology is the glue that ties the triad together, as it provides the means to implement various controls and measures to protect information from unauthorized access, modification or loss3. References: ISO
/IEC 27001:2022 Lead Auditor Training Course - BSI
355. Frage
CMM stands for?
- A. Capacity Maturity Matrix
- B. Capable Mature Model
- C. Capability Maturity Model
- D. Capability Maturity Matrix
Antwort: C
Begründung:
Explanation
Capability Maturity Model (CMM) is a framework that describes the key elements of an effective software process. It defines five levels of maturity for software development organizations, from initial to optimized. The CMM helps organizations to assess their current level of process capability and identify the areas for improvement1. References: ISO/IEC 27001:2022 Lead Auditor - IECB
356. Frage
A property of Information that has the ability to prove occurrence of a claimed event.
- A. Electronic chain letters
- B. Integrity
- C. Availability
- D. Accessibility
Antwort: B
Begründung:
A property of information that has the ability to prove occurrence of a claimed event is integrity. Integrity is one of the three main objectives of information security, along with confidentiality and availability. Integrity ensures that information and systems are not corrupted, modified, or deleted by unauthorized actions or events.
Integrity also implies that information and systems can be verified and validated as authentic and accurate.
Electronic chain letters are not a property of information, but a type of spam or hoax message that may contain malicious or misleading content. Availability means that service should be accessible at the required time and usable only by the authorized entity. Accessibility is not a property of information, but a characteristic of usability that refers to how easy it is for users to access and interact with information and systems. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 24. : [ISO/IEC
27001 Brochures | PECB], page 4. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 13.
357. Frage
Scenario 7: Webvue. headquartered in Japan, is a technology company specializing in the development, support, and maintenance of computer software. Webvue provides solutions across various technology fields and business sectors. Its flagship service is CloudWebvue, a comprehensive cloud computing platform offering storage, networking, and virtual computing services. Designed for both businesses and individual users. CloudWebvue is known for its flexibility, scalability, and reliability.
Webvue has decided to only include CloudWebvue in its ISO/IEC 27001 certification scope. Thus, the stage 1 and 2 audits were performed simultaneously Webvue takes pride in its strictness regarding asset confidentiality They protect the information stored in CloudWebvue by using appropriate cryptographic controls. Every piece of information of any classification level, whether for internal use. restricted, or confidential, is first encrypted with a unique corresponding hash and then stored in the cloud The audit team comprised five persons Keith. Sean. Layla, Sam. and Tin a. Keith, the most experienced auditor on the IT and information security auditing team, was the audit team leader. His responsibilities included planning the audit and managing the audit team. Sean and Layla were experienced in project planning, business analysis, and IT systems (hardware and application) Their tasks included audit planning according to Webvue's internal systems and processes Sam and Tina, on the other hand, who had recently completed their education, were responsible for completing the day-to-day tasks while developing their audit skills While verifying conformity to control 8.24 Use of cryptography of ISO/IEC 27001 Annex A through interviews with the relevant staff, the audit team found out that the cryptographic keys have been initially generated based on random bit generator (RBG) and other best practices for the generation of the cryptographic keys. After checking Webvue's cryptography policy, they concluded that the information obtained by the interviews was true. However, the cryptographic keys are still in use because the policy does not address the use and lifetime of cryptographic keys.
As later agreed upon between Webvue and the certification body, the audit team opted to conduct a virtual audit specifically focused on verifying conformity to control 8.11 Data Masking of ISO/IEC 27001 within Webvue, aligning with the certification scope and audit objectives. They examined the processes involved in protecting data within CloudWebvue. focusing on how the company adhered to its policies and regulatory standards. As part of this process. Keith, the audit team leader, took screenshot copies of relevant documents and cryptographic key management procedures to document and analyze the effectiveness of Webvue's practices.
Webvue uses generated test data for testing purposes. However, as determined by both the interview with the manager of the QA Department and the procedures used by this department, sometimes live system data are used. In such scenarios, large amounts of data are generated while producing more accurate results. The test data is protected and controlled, as verified by the simulation of the encryption process performed by Webvue's personnel during the audit While interviewing the manager of the QA Department, Keith observed that employees in the Security Training Department were not following proper procedures, even though this department fell outside the audit scope. Despite the exclusion in the audit scope, the non conformity in the Security Training Department has potential implications for the processes within the audit scope, specifically impacting data security and cryptographic practices in CloudWebvue. Therefore, Keith incorporated this finding into the audit report and accordingly informed the auditee.
Based on the scenario above, answer the following question:
To verify conformity to the protection of test data control, Webvue's personnel simulated the encryption process. Is this acceptable?
- A. Yes, if the auditor is not competent to perform the operations linked to a test, a representative of the auditee may have the role of a technical expert
- B. No, the encryption process must not be simulated since it affects the auditee's operations
- C. Yes, simulation of a process to verify conformity to a control can be done with the assistance of the auditee's personnel
Antwort: C
Begründung:
ISO 19011:2018 (Audit Guidelines) allows process simulations to verify control effectiveness.
Webvue's personnel conducted the test under audit supervision, ensuring realistic evaluation without operational disruption.
A: Incorrect:
Simulations are valid audit techniques and do not negatively impact operations if performed properly.
B: Incorrect:
Technical experts assist auditors, but the focus is on ensuring accurate control verification, not the auditor's competence.
Relevant Standard Reference:
ISO 19011:2018 Clause 6.4.8 (Process Simulation for Audit Evidence Collection) Explanation:
Comprehensive and Detailed In-Depth
358. Frage
Select two options that describe an advantage of using a checklist.
- A. Reducing audit duration
- B. Using the same checklist for every audit without review
- C. Restricting interviews to nominated parties
- D. Not varying from the checklist when necessary
- E. Ensuring the audit plan is implemented
- F. Ensuring relevant audit trails are followed
Antwort: E,F
Begründung:
A checklist is a tool that helps auditors to collect and verify information relevant to the audit objectives and scope. It can provide the following advantages:
Ensuring relevant audit trails are followed: A checklist can help auditors to identify and trace the sources of evidence that support the conformity or nonconformity of the audited criteria. It can also help auditors to avoid missing or overlooking any important aspects of the audit.
Ensuring the audit plan is implemented: A checklist can help auditors to follow and fulfil the audit plan, which describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. It can also help auditors to manage their time and resources effectively and efficiently.
The other options are not advantages of using a checklist, but rather:
Using the same checklist for every audit without review: This is a disadvantage of using a checklist, as it can lead to a rigid and ineffective audit approach. A checklist should be tailored and adapted to each specific audit, taking into account the context, risks, and changes of the auditee and the audit criteria. A checklist should also be reviewed and updated periodically to ensure its validity and relevance.
Restricting interviews to nominated parties: This is a disadvantage of using a checklist, as it can limit the scope and depth of the audit. A checklist should not prevent auditors from interviewing other relevant parties or sources of information that may provide valuable evidence or insights for the audit. A checklist should be used as a guide, not as a constraint.
Reducing audit duration: This is not necessarily an advantage of using a checklist, as it depends on various factors, such as the complexity, size, and maturity of the auditee's ISMS, the availability and quality of evidence, the competence and experience of the auditors, and the level of cooperation and communication between the auditors and the auditee. A checklist may help reduce audit duration by improving efficiency and organization, but it may also increase audit duration by requiring more evidence or verification.
Not varying from the checklist when necessary: This is a disadvantage of using a checklist, as it can result in a superficial or incomplete audit. A checklist should not prevent auditors from exploring or investigating any issues or concerns that arise during the audit, even if they are not included in the checklist. A checklist should be used as a support, not as a substitute.
Reference:
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 6.2.2]
359. Frage
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