Free ISO-IEC-27001-LEAD-AUDITOR Practice Test Questions and Answers (2026)

These two options are not required for audit planning of a certification audit, as they are not relevant

to the audit objectives, scope, criteria, and methods. The working experience of the management

system representative is not a requirement of ISO/IEC 27001, nor does it affect the conformity or

effectiveness of the ISMS. The organisation’s financial statement is not part of the ISMS

documentation, nor does it provide evidence of the ISMS performance or improvement. The other

options are required for audit planning, as they help to determine the audit activities, resources,

schedule, and sampling strategy. Reference: PECB Candidate Handbook1, page 19-20; ISO 9001

Auditing Practices Group Guidance on2, page 1-2; ISO/IEC 27001:2022 (en)3, clause 9.2.

Jack collected mathematical evidence when he identified nonconformities by comparing the number

of purchased invoices for software licenses with the software inventory. This type of evidence

involves numerical, quantifiable data that highlights discrepancies and supports findings of

compliance or non-compliance.

Reference: ISO/IEC 27001:2013 Standard, general guidelines on auditing

The following statements are true:

The role of a certification body auditor involves evaluating the organization’s processes for ensuring

compliance with their legal requirements. This is part of the auditor’s responsibility to assess the

effectiveness and conformity of the organization’s ISMS against the ISO/IEC 27001:2022 standard and

the applicable legal and regulatory requirements.

During a third-party audit, the auditor evaluates how the organization ensures that they are made

aware of changes to the legal requirements. This is part of the auditor’s responsibility to verify that

the organization has established and maintained a process for identifying and updating their legal

and other requirements related to information security. The following statement is false:

As part of a certification body audit, the auditor is responsible for verifying the organization’s legal

compliance status. This is not true, as the auditor is not authorized or qualified to provide legal

advice or judgment on the organization’s compliance status. The auditor can only report on the

evidence of compliance or noncompliance observed during the audit, but the ultimate responsibility

for ensuring legal compliance lies with the organization. Reference: : CQI & IRCA ISO 27001:2022

Lead Auditor Course Handbook, page 66. : CQI & IRCA ISO 27001:2022 Lead Auditor Course

Handbook, page 67. : ISO/IEC 27001 LEAD AUDITOR - PECB, page 22.

Phishing is a type of information security incident that falls under the category of cracker/hacker

attacks. Phishing is a form of fraud that uses deceptive emails or other messages to trick recipients

into revealing sensitive information, such as passwords, credit card numbers, bank account details,

etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of

urgency or curiosity to lure the victims into clicking on malicious links, opening malicious

attachments or providing personal information. Phishing is a common and serious threat to

information security, as it can lead to identity theft, financial loss, data breach, malware infection or

other damages. ISO/IEC 27001:2022 requires the organization to implement awareness and training

programs to make users aware of the risks of social engineering attacks, such as phishing, and how to

avoid them (see clause A.7.2.2). Reference: CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor

Training Course, ISO/IEC 27001:2022 Information technology — Security techniques — Information

security management systems — Requirements, What is Phishing?

Confidentiality is one of the principles of audit conduct that auditors should adhere to when

performing audits. Confidentiality means that auditors should exercise discretion in the use and

protection of information acquired in the course of their duties3. Auditors should respect the

intellectual property rights of the auditee and other parties involved in the audit, and should not

disclose any information that is sensitive, proprietary, or confidential without prior approval from the

auditee or other authorized parties3. Auditors should also obtain the auditee’s permission before

using a camera or recording equipment during an audit, as these devices may capture confidential

information or infringe on the privacy of individuals3. Therefore, these two options correctly state

the function of confidentiality in an audit. The other options are either incorrect or irrelevant to

confidentiality. For example, auditors are not forced by regulatory requirements to maintain

confidentiality in an audit, but rather by ethical obligations and contractual agreements3. Observers

in an audit team can access confidential information if they have signed a confidentiality agreement

and have been authorized by the auditee3. Audit information can be used for improving personal

competence by the auditor only if it does not compromise confidentiality or conflict with other

interests3. As an auditor is always accompanied by a guide, there is still a risk to the auditee’s

sensitive information if the guide is not trustworthy or authorized to access such

information3. Reference: ISO 19011:2018 - Guidelines for auditing management systems

According to ISO 27001:2022 Annex A Control 8.30, the organisation shall ensure that externally

provided processes, products or services that are relevant to the information security management

system are controlled. This includes developing and entering into licensing agreements that cover

code ownership and intellectual property rights, and implementing appropriate contractual

requirements related to secure design and coding in accordance with Annex A 8.25 and 8.2912

In this case, the organisation and the developer have performed security tests that failed, which

indicates that the secure design and coding requirements of Annex A 8.29 were not met. The IT

Manager explains that the encryption and pseudonymization functions failed because they slowed

down the system and service performance, and that an extra 150% of resources are needed to cover

this. However, this does not justify the acceptance of the test results by the Service Manager, who is

not authorised to approve the test according to the software security management procedure. The

Service Manager should have consulted with the IT Manager, who is the owner of the process, and

followed the procedure for handling nonconformities and corrective actions. The Service Manager’s

decision to continue the service based on access control alone exposes the organisation to the risk of

compromising the confidentiality, integrity, and availability of personal data processed by the mobile

app. Therefore, there is a nonconformity (NC) with clause 8.1, control A.8.30.

According to ISO 27001:2022 Clause 8.1, the organisation shall plan, implement and control the

processes needed to meet information security requirements, and to implement the actions

determined in Clause 6.1. The organisation shall also control planned changes and review the

consequences of unintended changes, taking action to mitigate any adverse effects, as necessary12

In this case, the organisation has not controlled the planned change of the mobile app from version

1.0 to version 1.01, which was a minor update provided by the outsourced developer in response to

frequent ransomware attacks. The IT Manager explains that the developer performed an emergency

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

security functions. However, this is not sufficient to ensure that the change is properly assessed,

tested, documented, and approved before deployment. The IT Manager should have followed the

change management process and procedure, and verified that the updated software meets the

security requirements and does not introduce any new vulnerabilities or risks. The IT Manager’s

reliance on his 20 years of information security experience and the developer’s verbal guarantee is

not a valid basis for skipping the re-testing of the software. Therefore, there is a nonconformity (NC)

with clause 8.1.

Reference:

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

Vehicular incidents are not a type of information security attack. A vehicular incident is an event that

involves a vehicle or its driver causing damage or injury to people or property. A vehicular incident

may have an impact on information security if it affects the availability or integrity of information or

systems that are transported or accessed by vehicles, but it is not an intentional or malicious attack

on information security. Legal incidents are a type of information security attack that involve legal

actions or disputes that may compromise the confidentiality or integrity of information or systems.

Technical vulnerabilities are a type of information security attack that exploit weaknesses or flaws in

software or hardware that may compromise the confidentiality, integrity, or availability of

information or systems. Privacy incidents are a type of information security attack that involve

unauthorized access or disclosure of personal or sensitive information that may compromise the

confidentiality or integrity of information or systems. Reference: : CQI & IRCA ISO 27001:2022 Lead

Auditor Course Handbook, page 25. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 13.

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing,

maintaining and continually improving an information security management system (ISMS), clause

8.1 requires an organization to plan, implement and control its processes needed to meet ISMS

requirements2. This includes determining what needs to be done, how it will be done, who will do it,

when it will be done, what resources are required, how performance will be evaluated, etc2.

Therefore, if an ISMS auditor conducting a third-party surveillance audit of a telecom’s provider

notes that there has been a significant increase in the number of switches failing their initial

configuration test and being returned for reprogramming due to a recent ISMS upgrade that reduced

access to work instructions, this indicates a nonconformity against clause 8.1 of ISO/IEC

27001:2022. The organization has failed to plan and control its operational processes effectively to

ensure information security and quality2. The other options are not correct clauses to raise a

nonconformity against based solely on this information. For example, clause 7.5 deals with

documented information required by ISMS or determined by an organization as necessary for its

effectiveness2, but it does not specify how many copies or formats of work instructions should be

available; clause 10.2 deals with nonconformity and corrective action as a response to an identified

problem or incident2, but it does not address how to prevent or avoid such problems or incidents in

operational processes; clause 7.3 deals with awareness of ISMS policy, objectives, roles and

responsibilities among persons doing work under an organization’s control2, but it does not relate to

how work instructions are accessed or followed; clause 7.2 deals with competence of persons doing

work under an organization’s control that affects its ISMS performance2, but it does not imply that

lack of competence is caused by insufficient work instructions; clause 7.4 deals with communication

about ISMS among internal and external interested parties2, but it does not cover how operational

information is communicated within an organization. Reference: ISO/IEC 27001:2022 - Information

technology – Security techniques – Information security management systems – Requirements

Audit methods are techniques used by auditors to obtain audit evidence. Audit methods can be

classified into two categories: those that involve human interaction and those that do not2. Audit

methods that involve human interaction require direct communication between the auditor and the

auditee or other relevant parties, such as interviews, questionnaires, surveys, meetings, etc. Audit

methods that do not involve human interaction rely on observation, inspection, measurement,

testing, sampling, analysis, etc., without requiring any verbal or written exchange2. Therefore,

performing an independent review of procedures in preparation for an audit and reviewing the

auditee’s response to an audit finding are examples of audit methods that involve human

interaction, as they require reading and evaluating documents provided by the auditee or other

sources. On the other hand, analysing data by remotely accessing the auditee’s server and observing

work performed by remote surveillance are examples of audit methods that do not involve human

interaction, as they do not require any direct communication with the auditee or other

parties. Reference: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) |

CQI | IRCA

The difference between a restricted and confidential document is that a restricted document is to be

shared among named individuals, while a confidential document is to be shared among an

authorized group. Restricted and confidential are examples of information classification levels that

indicate the sensitivity and value of information and the degree of protection required for it.

Restricted documents contain information that could cause serious damage or harm to the

organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be

accessed by specific individuals who have a legitimate need to know and are authorized by the

information owner. Confidential documents contain information that could cause damage or harm to

the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only

be accessed by a defined group of people who have a legitimate need to know and are authorized by

the information owner. ISO/IEC 27001:2022 requires the organization to classify information in terms

of legal requirements, value, criticality and sensitivity to unauthorized disclosure or modification (see

clause A.8.2.1). Reference: CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training

Course, ISO/IEC 27001:2022 Information technology — Security techniques — Information security

management systems — Requirements, What is Information Classification?

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing,

maintaining and continually improving an information security management system (ISMS), clause

4.1 requires an organization to determine external and internal issues that are relevant to its purpose

and that affect its ability to achieve the intended outcomes of its ISMS2. External issues are those

that originate from outside the organization, such as legal, regulatory, cultural, social, political,

economic, natural and competitive factors2. Internal issues are those that originate from within the

organization, such as governance, structure, roles and responsibilities, policies, objectives, culture,

capabilities, resources and information systems2. Therefore, based on this definition, four examples

of external issues in the context of a management system to ISO/IEC 27001:2022 are a rise in interest

rates in response to high inflation (which affects the economic environment of the organization), a

reduction in grants as a result of a change in government policy (which affects the political and legal

environment of the organization), higher labour costs as a result of an aging population (which

affects the social and demographic environment of the organization), and inability to source raw

materials due to government sanctions (which affects the trade and supply environment of the

organization)2. The other options are examples of internal issues, as they originate from within the

organization or its activities. For example, poor levels of staff competence as a result of cuts in

training expenditure (which affects the capabilities and resources of the organization), increased

absenteeism as a result of poor management (which affects the culture and performance of the

organization), poor morale as a result of staff holidays being reduced (which affects the motivation

and satisfaction of the organization’s personnel), and a fall in productivity linked to outdated

production equipment (which affects the efficiency and quality of the organization’s

processes)2. Reference: ISO/IEC 27001:2022 - Information technology – Security techniques –

Information security management systems – Requirements

The three options that would not be valid audit trails are:

•

Collect more evidence on how the organisation manages the Point of Contact (PoC) which

monitors vulnerabilities. (Relevant to clause 8.1)

•

Collect more evidence on whether terms and definitions are contained in the information

security policy. (Relevant to control 5.32)

•

Collect more evidence to determine if ISO 27035 (Information security incident

management) is used as internal audit criteria. (Relevant to clause 8.13)

These options are not valid audit trails because they are not directly related to the information

security incident management process, which is the focus of the audit. The audit trails should be

relevant to the objectives, scope, and criteria of the audit, and should provide sufficient and reliable

evidence to support the audit findings and conclusions1.

Option E is not valid because the PoC is not a part of the information security incident management

process, but rather a role that is responsible for reporting and escalating information security

incidents to the appropriate authorities2. The audit trail should focus on how the PoC performs this

function, not how the organisation manages the PoC.

Option G is not valid because the terms and definitions are not a part of the information security

incident management process, but rather a part of the information security policy, which is a high-

level document that defines the organisation’s information security objectives, principles, and

responsibilities3. The audit trail should focus on how the information security policy is

communicated, implemented, and reviewed, not whether it contains terms and definitions.

Option H is not valid because ISO 27035 is not a part of the information security incident

management process, but rather a guidance document that provides best practices for managing

information security incidents4. The audit trail should focus on how the organisation follows the

requirements of ISO/IEC 27001:2022 for information security incident management, not whether it

uses ISO 27035 as an internal audit criteria.

The other options are valid audit trails because they are related to the information security incident

management process, and they can provide useful evidence to evaluate the conformity and

effectiveness of the process. For example:

•

Option A is valid because it relates to control A.5.29, which requires the organisation to

establish procedures to isolate and quarantine areas subject to information security incidents, in

order to prevent further damage and preserve evidence5. The audit trail should collect evidence on

how the organisation implements and tests these procedures, and how they ensure the continuity of

information security during disruption.

•

Option B is valid because it relates to control A.6.8, which requires the organisation to

establish mechanisms for reporting information security events and weaknesses, and to ensure that

they are communicated in a timely manner to the appropriate levels within the organisation6. The

audit trail should collect evidence on how the organisation defines and uses these mechanisms, and

how they monitor and review the reporting process.

•

Option C is valid because it relates to clause 7.2, which requires the organisation to provide

information security awareness, education, and training to all persons under its control, and to

evaluate the effectiveness of these activities7. The audit trail should collect evidence on how the

organisation identifies the information security training needs, how they deliver and record the

training, and how they measure the learning outcomes and feedback.

•

Option D is valid because it relates to control A.5.27, which requires the organisation to learn

from information security incidents and to implement corrective actions to prevent recurrence or

reduce impact8. The audit trail should collect evidence on how the organisation analyses and

documents the root causes and consequences of information security incidents, how they identify

and implement corrective actions, and how they verify the effectiveness of these actions.

•

Option F is valid because it relates to control A.5.30, which requires the organisation to

establish and maintain a business continuity plan to ensure the availability of information and

information processing facilities in the event of a severe information security incident9. The audit

trail should collect evidence on how the organisation develops and updates the business continuity

plan, how they test and review the plan, and how they communicate and train the relevant

personnel on the plan.

Reference: 1: ISO 19011:2018, 6.2; 2: ISO/IEC 27001:2022, A.6.8.1; 3: ISO/IEC 27001:2022, 5.2; 4:

ISO/IEC 27035:2016, Introduction; 5: ISO/IEC 27001:2022, A.5.29; 6: ISO/IEC 27001:2022, A.6.8; 7:

ISO/IEC 27001:2022, 7.2; 8: ISO/IEC 27001:2022, A.5.27; 9: ISO/IEC 27001:2022, A.5.30; : ISO

19011:2018; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27035:2016; : ISO/IEC

27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022; : ISO/IEC 27001:2022

A third-party audit is an independent assessment of an organisation’s management system by an

external auditor, who is not affiliated with the organisation or its customers. The auditor verifies that

the management system meets the requirements of a specific standard, such as ISO 27001, and

evaluates its effectiveness and performance. The auditor also identifies any strengths, weaknesses,

opportunities, or risks of the management system, and provides recommendations for improvement.

The purpose of a third-party audit is to provide an objective and impartial evaluation of the

organisation’s management system, and to inform a certification decision by a certification body. A

certification body is an organisation that grants a certificate of conformity to the organisation, after

reviewing the audit report and evidence, and confirming that the management system meets the

certification criteri

a. A certification decision is the outcome of the certification process, which can be positive (granting,

maintaining, renewing, or expanding the scope of certification) or negative (suspending,

withdrawing, or reducing the scope of certification). Reference:

PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-25

ISO 19011:2018 - Guidelines for auditing management systems

The ISO 27001 audit process | ISMS.online

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https://kxbjsyuhceggsyvxdkof.supabase.co/storage/v1/object/public/file-images/ISO-IEC-27001-LEAD-AUDITOR/page_89_img_2.jpg

According to ISO 27001:2013, clause 5.2, the top management of an organization must establish,

implement and maintain an information security policy that is appropriate to the purpose of the

organization and provides a framework for setting information security objectives. The information

security policy must also include a commitment to comply with the applicable legal, regulatory and

contractual requirements, as well as any other requirements that the organization subscribes to.

Therefore, maintaining regulatory compliance is part of fulfilling the management system policy and

ensuring its effectiveness and suitability. Reference:

ISO/IEC 27001:2013, Information technology — Security techniques — Information security

management systems — Requirements, clause 5.2

PECB Candidate Handbook ISO 27001 Lead Auditor, page 10

ISO 27001 Policy: How to write it according to ISO 27001

"An audit finding is the result of the evaluation of the collected audit evidence against audit criteria."

The words that best complete the sentence to describe an audit finding are evaluation and

evidence. According to ISO 19011:2022, an audit finding is the result of the evaluation of the

collected audit evidence against audit criteria12. The other options are either not related to the

definition of an audit finding or do not fit the sentence grammatically. Reference: 1: ISO 19011:2022,

Guidelines for auditing management systems, Clause 3.11 \n2: PECB Certified ISO/IEC 27001 Lead

Auditor Exam Preparation Guide, Domain 5: Conducting an ISO/IEC 27001 audit

One possible way to complete the sentence is:

“When reviewing the effectiveness of action taken in response to a nonconformity, an auditor seeks

evidence of change that will prevent recurrence of the issue.”

According to ISO/IEC 27001:2022, clause 10.1, the organization shall continually improve the

suitability, adequacy, and effectiveness of the ISMS by evaluating the performance and the

effectiveness of the ISMS, ensuring that the policy and objectives are aligned with the strategic

direction of the organization, and taking actions to achieve the intended outcomes of the ISMS. One

of the ways to achieve continual improvement is to identify and correct nonconformities and take

actions to eliminate their causes and prevent their recurrence. Therefore, when reviewing the

effectiveness of the corrective actions, an auditor should look for evidence that the organization has

analyzed the root cause of the nonconformity, implemented appropriate changes to the ISMS, and

verified that the changes have resulted in the desired improvement and prevented the recurrence of

the issue. Reference: =

ISO/IEC 27001:2022, clause 10.1, Nonconformity and corrective action

ISO/IEC 27001:2022, clause 10.2, Continual improvement

PECB Candidate Handbook ISO 27001 Lead Auditor, page 19, Audit Process

PECB Candidate Handbook ISO 27001 Lead Auditor, page 21, Audit Findings

competence of the audit team and decision made by the certification body

According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and

certification of management systems, an accredited certification means that the certification body

has been evaluated by an accreditation body against recognized standards to demonstrate its

competence, impartiality and performance capability1. Therefore, an accredited certification assures

the competence of the audit team that conducts the audit in accordance with ISO 19011 and ISO/IEC

27001:2022, and the decision made by the certification body that grants or maintains the

certification based on the audit evidence and findings2. Reference: ISO/IEC 17021-1:2015 -

Conformity assessment – Requirements for bodies providing audit and certification of management

systems – Part 1: Requirements, ISO/IEC 27001:2022 Lead Auditor (Information Security

Management Systems) | CQI | IRCA

The possible matches of the characteristics to the descriptions are:

Tenacious: Persistent and focused on objectives

Ethical: Fair, truthful, sincere, honest, discreet

Diplomatic: Tactful in dealing with individuals

Observant: Actively observing surroundings/activities

Perceptive: Aware of and able to understand situations

Open to improvement: Willing to learn from situations

Actively observing surroundings/activities = Observant

Fair, truthful, sincere, honest, discreet = Ethical

Persistent and focused on objectives = Tenacious

Willing to learn from situations = Open to improvement

Tactful in dealing with individuals = Diplomatic

Aware of and able to understand situations = Perceptive

These are the auditor’s characteristics and their descriptions as defined by ISO 19011:2022, Clause

7.2.21. The auditor’s personal behaviour is essential for building trust and confidence with the

auditee and for ensuring the credibility and effectiveness of the audit12. Reference: 1: ISO

19011:2022, Guidelines for auditing management systems, Clause 7.2.2 \n2: PECB Certified ISO/IEC

27001 Lead Auditor Exam Preparation Guide, Domain 3: Fundamental audit concepts and principles

The correct sequence of activities is:

Establish the management system

Plan the audit programme

Conduct internal audits

Hold a Management Review

Engage a Certification Body for stage 1 and stage 2 audits

Complete any corrective actions

Comprehensive but Short Explanation: = According to the PECB Candidate Handbook - ISO/IEC 27001

Lead Auditor, the steps for achieving certification are as follows1:

Establish the management system: This involves defining the scope, objectives, policies, procedures,

and controls of the ISMS, as well as ensuring the availability of resources and top management

commitment.

Plan the audit programme: This involves defining the audit objectives, criteria, scope, frequency,

methods, and responsibilities for conducting internal audits of the ISMS.

Conduct internal audits: This involves verifying the conformity and effectiveness of the ISMS, as well

as identifying any nonconformities or opportunities for improvement.

Hold a Management Review: This involves reviewing the performance and suitability of the ISMS, as

well as deciding on any changes or actions needed to improve it.

Engage a Certification Body for stage 1 and stage 2 audits: This involves selecting a reputable and

accredited certification body to conduct an external audit of the ISMS, consisting of two stages: a

documentation review and an on-site assessment.

Complete any corrective actions: This involves addressing any nonconformities or findings identified

by the certification body, and providing evidence of their implementation and effectiveness.

Reference: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, pages 25-26.

Determine source of information

Collect by means of appropriate sampling

Reviewing

Audit evidence

Evaluating against audit criteria

Audit findings

Audit conclusions

The reviewing step involves checking the accuracy, completeness, and relevance of the collected

information. The audit evidence step involves documenting the information in a verifiable and

traceable manner. The evaluating against audit criteria step involves comparing the audit evidence

with the requirements of the ISO 27001 standard and the organization’s own policies and objectives.

The audit findings step involves identifying any nonconformities, weaknesses, or opportunities for

improvement in the ISMS. The audit conclusions step involves summarizing the audit results and

providing recommendations for corrective actions or enhancements.