Free Access to PECB.ISO-IEC-27001-Lead-Auditor.v2025-07-02.q187 with Valid Practice Test (Page 14)

Question 61

A well-executed risk analysis provides a great deal of useful information. A risk analysis has four main objectives.
What is not one of the four main objectives of a risk analysis?

A.Identifying assets and their value
B.Implementing counter measures
C.Establishing a balance between the costs of an incident and the costs of a security measure
D.Determining relevant vulnerabilities and threats

Correct Answer: B

Implementing countermeasures is not one of the four main objectives of a risk analysis. A risk analysis is a systematic process that involves identifying, assessing, and evaluating potential risks to understand their likelihood and impact. Its objective is to develop strategies to manage or mitigate those risks effectively. The four main objectives of a risk analysis are:
Identifying assets and their value: This involves determining what are the information assets that need to be protected and how valuable they are for the organization.
Determining relevant vulnerabilities and threats: This involves identifying what are the weaknesses or flaws in the information assets or systems that could be exploited by malicious actors or events and what are the sources or causes of those potential attacks or incidents.
Establishing a balance between the costs of an incident and the costs of a security measure: This involves estimating what are the potential consequences or impacts of a risk occurrence in terms of financial, operational, reputational, or legal losses and comparing them with what are the costs or benefits of implementing a security measure to prevent or reduce that risk.
Providing a basis for risk treatment decisions: This involves prioritizing the risks based on their likelihood and impact and selecting the most appropriate risk treatment options such as avoiding, transferring, reducing, or accepting the risk.
Implementing countermeasures is not an objective but an outcome of a risk analysis. Countermeasures are specific actions or controls that are designed to prevent or mitigate a risk occurrence or impact. Countermeasures are selected based on the results of a risk analysis and aligned with the organization's risk appetite and objectives. Therefore, the correct answer is B. Reference: [ISO/IEC 27005:2018], clauses 6-9; Risk Analysis - What Is It, Benefits, Example, Methods - WallStreetMojo.

Question 62

You are conducting an ISMS audit in the despatch department of an international logistics organisation that provides shipping services to large organisations including local hospitals and government offices. Parcels typically contain pharmaceutical products, biological samples, and documents such as passports and driving licences. You note that the company records show a very large number of returned items with causes including mis-addressed labels and, in 15% of company cases, two or more labels for different addresses for the one package. You are interviewing the Shipping Manager (SM).
You: Are items checked before being dispatched?
SH: Any obviously damaged items are removed by the duty staff before being dispatched, but the small profit margin makes it uneconomic to implement a formal checking process.
You: What action is taken when items are returned?
SM: Most of these contracts are relatively low value, therefore it has been decided that it is easier and more convenient to simply reprint the label and re-send individual parcels than it is to implement an investigation.
You raise a nonconformity. Referencing the scenario, which six of the following Appendix A controls would you expect the auditee to have implemented when you conduct the follow-up audit?

Correct Answer: B,D,E,F,I,J

Explanation
* B. 8.12 Data leakage protection. This is true because the auditee should have implemented measures to prevent unauthorized disclosure of sensitive information, such as personal data, medical records, or official documents, that are contained in the parcels. Data leakage protection could include encryption, authentication, access control, logging, and monitoring of data transfers12.
* D. 6.3 Information security awareness, education, and training. This is true because the auditee should have ensured that all employees and contractors involved in the shipping process are aware of the information security policies and procedures, and have received appropriate training on how to handle and protect the information assets in their custody. Information security awareness, education, and training could include induction programmes, periodic refreshers, awareness campaigns, e-learning modules, and feedback mechanisms13.
* E. 7.10 Storage media. This is true because the auditee should have implemented controls to protect the storage media that contain information assets from unauthorized access, misuse, theft, loss, or damage. Storage media could include paper documents, optical disks, magnetic tapes, flash drives, or hard disks14. Storage media controls could include physical locks, encryption, backup, disposal, or destruction14.
* F. 8.3 Information access restriction. This is true because the auditee should have implemented controls to restrict access to information assets based on the principle of least privilege and the need-to-know basis. Information access restriction could include identification, authentication, authorization, accountability, and auditability of users and systems that access information assets15.
* I. 7.4 Physical security monitoring. This is true because the auditee should have implemented controls to monitor the physical security of the premises where information assets are stored or processed. Physical security monitoring could include CCTV cameras, alarms, sensors, guards, or patrols16. Physical security monitoring could help detect and deter unauthorized physical access or intrusion attempts16.
* J. 5.13 Labelling of information. This is true because the auditee should have implemented controls to label information assets according to their classification level and handling instructions. Labelling of information could include markings, tags, stamps, stickers, or barcodes1 . Labelling of information could help identify and protect information assets from unauthorized disclosure or misuse1 .
References :=
* ISO/IEC 27002:2022 Information technology - Security techniques - Code of practice for information security controls
* ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements
* ISO/IEC 27003:2022 Information technology - Security techniques - Information security management systems - Guidance
* ISO/IEC 27004:2022 Information technology - Security techniques - Information security management systems - Monitoring measurement analysis and evaluation
* ISO/IEC 27005:2022 Information technology - Security techniques - Information security risk management
* ISO/IEC 27006:2022 Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems
* [ISO/IEC 27007:2022 Information technology - Security techniques - Guidelines for information security management systems auditing]

Question 63

Scenario 1: Fintive is a distinguished security provider for online payments and protection solutions. Founded in 1999 by Thomas Fin in San Jose, California, Fintive offers services to companies that operate online and want to improve their information security, prevent fraud, and protect user information such as PII. Fintive centers its decision-making and operating process based on previous cases. They gather customer data, classify them depending on the case, and analyze them. The company needed a large number of employees to be able to conduct such complex analyses. After some years, however, the technology that assists in conducting such analyses advanced as well. Now, Fintive is planning on using a modern tool, a chatbot, to achieve pattern analyses toward preventing fraud in real-time. This tool would also be used to assist in improving customer service.
This initial idea was communicated to the software development team, who supported it and were assigned to work on this project. They began integrating the chatbot on their existing system. In addition, the team set an objective regarding the chatbot which was to answer 85% of all chat queries.
After the successful integration of the chatbot, the company immediately released it to their customers for use. The chatbot, however, appeared to have some issues.
Due to insufficient testing and lack of samples provided to the chatbot during the training phase, in which it was supposed "to learn" the queries pattern, the chatbot failed to address user queries and provide the right answers. Furthermore, the chatbot sent random files to users when it received invalid inputs such as odd patterns of dots and special characters. Therefore, the chatbot was unable to properly answer customer queries and the traditional customer support was overwhelmed with chat queries and thus was unable to help customers with their requests.
Consequently, Fintive established a software development policy. This policy specified that whether the software is developed in-house or outsourced, it will undergo a black box testing prior to its implementation on operational systems.
Based on this scenario, answer the following question:
The chatbot was supposed "to learn" the queries pattern to address user queries and provide the right answers. What type of technology enables this?

A.Machine learning
B.Artificial intelligence
C.Cloud computing

Question 64

During a third-party certification audit, you are presented with a list of issues by an auditee. Which four of the following constitute 'internal' issues in the context of a management system to ISO 27001:2022?

A.Higher labour costs as a result of an aging population
B.A rise in interest rates in response to high inflation
C.Poor levels of staff competence as a result of cuts in training expenditure
D.Poor morale as a result of staff holidays being reduced
E.Increased absenteeism as a result of poor management
F.A reduction in grants as a result of a change in government policy
G.A fall in productivity linked to outdated production equipment
H.Inability to source raw materials due to government sanctions

Correct Answer: C,D,E,G

According to ISO 27001:2022 clause 4.1, the organisation shall determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcome(s) of its information security management system (ISMS)12 External issues are factors outside the organisation that it cannot control, but can influence or adapt to. They include political, economic, social, technological, legal, and environmental factors that may affect the organisation's information security objectives, risks, and opportunities12 Internal issues are factors within the organisation that it can control or change. They include the organisation's structure, culture, values, policies, objectives, strategies, capabilities, resources, processes, activities, relationships, and performance that may affect the organisation's information security management system12 Therefore, the following issues are considered 'internal' in the context of a management system to ISO
27001:2022:
* Poor levels of staff competence as a result of cuts in training expenditure: This is an internal issue because it relates to the organisation's capability, resource, and process of developing and maintaining the competence of its personnel involved in the ISMS. The organisation can control or change its training expenditure and its impact on staff competence12
* Poor morale as a result of staff holidays being reduced: This is an internal issue because it relates to the organisation's culture, value, and relationship with its employees. The organisation can control or change its staff holiday policy and its impact on staff morale12
* Increased absenteeism as a result of poor management: This is an internal issue because it relates to the organisation's performance, structure, and accountability of its management. The organisation can control or change its management practices and its impact on staff absenteeism12
* A fall in productivity linked to outdated production equipment: This is an internal issue because it relates to the organisation's capability, resource, and process of ensuring the availability and suitability of its production equipment. The organisation can control or change its equipment maintenance and upgrade and its impact on productivity12 The following issues are considered 'external' in the context of a management system to ISO 27001:2022:
* Higher labour costs as a result of an aging population: This is an external issue because it relates to the
* social and demographic factor that affects the availability and cost of labour in the market. The organisation cannot control or change the aging population, but can influence or adapt to its impact on labour costs12
* A rise in interest rates in response to high inflation: This is an external issue because it relates to the economic and monetary factor that affects the cost and availability of capital in the market. The organisation cannot control or change the interest rates or inflation, but can influence or adapt to its impact on capital costs12
* A reduction in grants as a result of a change in government policy: This is an external issue because it relates to the political and legal factor that affects the availability and conditions of public funding for the organisation. The organisation cannot control or change the government policy, but can influence or adapt to its impact on grants12
* Inability to source raw materials due to government sanctions: This is an external issue because it relates to the political and legal factor that affects the availability and cost of raw materials in the market. The organisation cannot control or change the government sanctions, but can influence or adapt to its impact on raw materials12 References:
1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

Question 65

An audit finding is the result of the evaluation of the collected audit evidence against audit criteria. Evaluate the following potential formats of audit evidence and select the two that are acceptable.

A.Unsigned hand written changes to test results
B.Statement of facts by the IT manager
C.Documented information on results of IT audits
D.Statements by a system engineer that cannot be verified
E.Observation of a previously recorded video demonstrating the performance of a hazardous activity
F.An audio recording of a dialog between the IT manager and a system engineer

Question 61

Question 62

Question 63

Question 64

Question 65

Download PDF File