PECB ISO-IEC-27001-Lead-Auditor Study & Exam Dumps 2025

PECB Certified ISO/IEC 27001 2022 Lead Auditor exam Questions and Answers

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Question 1

You are an experienced ISMS audit team leader guiding an auditor in training. Your team has just completed a third-party surveillance audit of a mobile telecom provider. The auditor in training asks you how you intend to prepare for the Closing meeting. Which four of the following are appropriate responses?

Options:

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 the findings

I will instruct my audit team to wait outside the auditee's offices so we can leave as quickly as possible after the closing meeting. This saves our time and the client's time too

It is not necessary to prepare for the closing meeting. Once you have carried out as many audits as I have you already know what needs to be discussed

I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented

I will contact head office to ensure our invoice has been paid, If not, I will cancel the closing meeting and temporarily withhold the audit report

I will discuss any follow-up required with my audit team

I will review and, as appropriate, approve my teams audit conclusions

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Answer:

A, D, F, H

Explanation:

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.

Question 2

Scenario 4: SendPay is a financial company that provides its services through a network of agents and financial institutions. One of their main services is transferring money worldwide. SendPay, as a new company, seeks to offer top quality services to its clients. Since the company offers international transactions, it requires from their clients to provide personal information, such as their identity, the reason for the transactions, and other details that might be needed to complete the transaction. Therefore, SendPay has implemented security measures to protect their clients' information, including detecting, investigating, and responding to any information security threats that may emerge. Their commitment to offering secure services was also reflected during the ISMS implementation where the company invested a lot of time and resources.

Last year, SendPay unveiled their digital platform that allows money transactions through electronic devices, such as smartphones or laptops, without requiring an additional fee. Through this platform, SendPay's clients can send and receive money from anywhere and at any time. The digital platform helped SendPay to simplify the company's operations and further expand its business. At the time, SendPay was outsourcing its software operations, hence the project was completed by the software development team of the outsourced company. The same team was also responsible for maintaining the technology infrastructure of SendPay.

Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year. They contracted a certification body that fit their criteria. Soon after, the certification body appointed a team of four auditors to audit SendPay's ISMS.

During the audit, among others, the following situations were observed:

1.The outsourced software company had terminated the contract with SendPay without prior notice. As a result, SendPay was unable to immediately bring the services back in-house and its operations were disrupted for five days. The auditors requested from SendPay's representatives to provide evidence that they have a plan to follow in cases of contract terminations. The representatives did not provide any documentary evidence but during an interview, they told the auditors that the top management of SendPay had identified two other software development companies that could provide services immediately if similar situations happen again.

2.There was no evidence available regarding the monitoring of the activities that were outsourced to the software development company. Once again, the representatives of SendPay told the auditors that they regularly communicate with the software development company and that they are appropriately informed for any possible change that might occur.

3.There was no nonconformity found during the firewall testing. The auditors tested the firewall configuration in order to determine the level of security provided by

these services. They used a packet analyzer to test the firewall policies which enabled them to check the packets sent or received in real-time.

Based on this scenario, answer the following question:

Based on scenario 4, the auditors requested documentary evidence regarding the monitoring process of outsourced operations. What does this indicate?

Options:

The auditors demonstrated professional skepticism

The auditors compromised the confidentiality of outsourced operations

The auditors evaluated the evidence based on a risk-based approach

Question 3

You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.

The next step in your audit plan is to verify the information security on 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 follows:

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 authorized 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 pseudonymization 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 sample one of the medical staff's mobile and found that ABC's healthcare mobile app, version

1.01 is installed. You found that version 1.01 has no test record.

The IT Manager explains that because of frequent ransomware attacks, the outsourced mobile app

development company gave a free minor update on the tested software, performed an emergency

release of the updated software, and gave a verbal guarantee that there will be no impact on any

security functions. Based on his 20 years of information security experience, there is no need to re-

test.

You are preparing the audit findings Select two options that are correct.

Options:

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

There is a nonconformity (NC). The organisation does not control planned changes and review the consequences of unintended changes. (Relevant to clause 8.1)

There is an opportunity for improvement (OI). The IT Manager should make the decision to continue the service based on appropriate testing. (Relevant to clause 8.1, control A.8.30)

There is an opportunity for improvement (OI). The organisation selects an external service provider based on the extent of free services it will provide. (Relevant to clause 8.1, control A.5.21)

There is NO nonconformity (NC). The IT Manager demonstrates good leadership. (Relevant to clause 5.1, control 5.4)

There is NO nonconformity (NC). The IT Manager demonstrates he is fully competent. (Relevant to clause 7.2)

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