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

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

ISO 19011:2018 mandates that auditors must obtain permission before making copies of documents.

Virtual audits must adhere to confidentiality agreements to protect sensitive data.

A. Incorrect:

Screenshots cannot be taken without permission, even if the audit is not recorded.

C. Incorrect:

Screenshots are allowed with prior authorization, ensuring proper data handling.

Relevant Standard Reference:

ISO 19011:2018 Clause 6.4.10 (Virtual Auditing and Data Handling)

The auditor should verify that the selected controls are included in the Statement of Applicability (SoA), making option C the correct answer. ISO/IEC 27001:2022 requires organizations to document which Annex A controls are applicable based on the results of the risk assessment and risk treatment process. The SoA is the formal document that records these decisions, including justification for inclusion or exclusion of controls.

The existence of a risk assessment alone is not sufficient. Auditors must confirm traceability between identified risks, selected controls, and their formal documentation in the SoA. This ensures transparency, consistency, and accountability in how the organization manages information security risks.

Option A is incorrect because ISO/IEC 27001 does not require organizations to use external consultants for risk assessments. Risk assessments may be conducted internally, provided they follow a defined and systematic methodology. Option B is incorrect because controls can be preventive, detective, or corrective; there is no requirement that selected controls be corrective only.

Therefore, verifying that selected controls are properly reflected in the Statement of Applicability is a mandatory audit activity and a core requirement of ISO/IEC 27001 compliance.

According to ISO/IEC 27001 standards, if the auditee decides to accept the risk instead of implementing corrective actions for a nonconformity, this decision should be justified and documented. Documenting such decisions is essential for maintaining the integrity of the ISMS and for demonstrating that the decision was made based on informed judgment.

A third-party virtual audit is an external audit conducted by an independent certification body using remote technology such as video conferencing, screen sharing, and electronic document exchange. The purpose of a third-party virtual audit is to verify the conformity and effectiveness of the information security management system (ISMS) and to issue a certificate of compliance12

Before you start conducting the audit, you would need to inform the auditee about the following issues: 12

You will ask those being interviewed to state their name and position beforehand, i.e., to confirm their identity and role in the ISMS. This is to ensure that you are interviewing the relevant personnel and that they are authorized to provide information and evidence for the audit.

You will ask for a 360-degree view of the room where the audit is being carried out, i.e., to verify the physical and environmental security of the audit location. This is to ensure that there are no unauthorized persons or devices in the vicinity that could compromise the confidentiality, integrity, or availability of the information being audited.

The other issues are not relevant or appropriate for a third-party virtual audit, because:

You will ask to see the ID card of the person that is on the screen, i.e., to verify their identity. This is not necessary if you have already asked them to state their name and position beforehand, and if you have access to the auditee’s organizational chart or staff directory. Asking to see the ID card could also be seen as intrusive or disrespectful by the auditee.

You will take photos of every person you interview, i.e., to document the audit process. This is not advisable as it could violate the privacy or consent of the auditee and the interviewees. Taking photos could also be seen as unprofessional or suspicious by the auditee. You should rely on the audit records and evidence provided by the auditee and the audit tool instead.

You will not record any part of the audit, unless permitted, i.e., to respect the auditee’s preferences and rights. This is not a valid issue to inform the auditee about, as you should always record the audit for quality assurance and verification purposes. Recording the audit is also a requirement of the ISO/IEC 27001 standard and the certification body. You should inform the auditee that you will record the audit and obtain their consent before the audit begins.

You expect the auditee to have assessed all risks associated with online activities, i.e., to ensure the security of the audit process. This is not an issue to inform the auditee about, as it is part of the auditee’s responsibility and obligation to have a risk assessment and treatment process for their ISMS. You should assess the auditee’s risk management practices and controls during the audit, not before it.