PECB Updated ISO-IEC-27001-Lead-Auditor Exam Questions and Answers by obie

Comprehensive and Detailed In-Depth Explanation:

A. Correct Answer: ISO/IEC 27001 Clause 4.1 (Understanding the Organization and Its Context) and Clause 4.2 (Understanding the Needs and Expectations of Interested Parties) require organizations to consider both internal and external issues when defining the scope of the ISMS.

The scenario states that Clinic only considered internal issues but did not assess external factors, such as regulatory requirements, industry standards, or cybersecurity threats.

B. Incorrect: The scope is not fully correct because external factors were not considered.

C. Incorrect: Justifying exclusions is necessary in the SoA, not in the ISMS scope statement.

By failing to consider external issues, Clinic's ISMS does not meet the full requirements of ISO/IEC 27001.

It was appropriate for the audit team to include the observed deficiency in the audit report, making option A the correct answer. ISO/IEC 17021-1 and ISO 19011 require auditors to report all relevant findings that relate to conformity with the audit criteria, regardless of whether the affected department is formally listed within the audit scope. What matters is whether the issue relates to ISMS requirements or policies.

In this scenario, access rights control is explicitly included in Sinvestment’s information security policy and is a core requirement of ISO/IEC 27001. The absence of access control procedures in the marketing department represents a weakness in the implementation of an ISMS requirement. Even though the marketing department was not part of the defined audit scope, the auditors became aware of a condition that could negatively affect the effectiveness of the ISMS as a whole.

Option B is incorrect because merely communicating the issue informally would undermine transparency and traceability. Audit reports must provide a complete and accurate record of findings. Option C is incorrect because marketing departments frequently handle personal data and sensitive information, particularly in an insurance context, and therefore clearly pose potential ISMS risks.

Auditors are required to report relevant findings objectively and without omission. Therefore, inclusion of the issue in the audit report was appropriate.

Identifying the source of information (already given)

Gathering audit evidence: This involves collecting information from various sources such as documents, records, interviews, and observations.

Sampling the available data: Due to the vast amount of information available, auditors typically use sampling techniques to select representative data for closer scrutiny.

Verifying objective evidence: This involves checking the accuracy, completeness, and reliability of the collected evidence.

Evaluating evidence against the audit criteria: Auditors compare the collected evidence to the established criteria (e.g., standards, policies, procedures) to assess compliance and effectiveness.

Recording audit findings: This involves documenting the results of the evaluation, including observations, conclusions, and recommendations.

Making audit conclusions: Based on the recorded findings, auditors formulate overall conclusions about the status of the management system.

Therefore, the correct sequence is:

1. Identifying the source of information 2. Gathering audit evidence 3. Sampling the available data 4. Verifying objective evidence 5. Evaluating evidence against the audit criteria 6. Recording audit findings 7. Making audit conclusions

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