Important PECB ISO-IEC-27001-Lead-Implementer Exam Questions

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PECB ISO/IEC 27001 Lead Implementer ISO-IEC-27001-Lead-Implementer Exam

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Vendor:	PECB
Exam Name:	ISO/IEC 27001 Lead Implementer
Registration Code:	ISO-IEC-27001-Lead-Implementer
Related Certification:	PECB CPD, PECB Implementer Certifications, PECB ISO/IEC 27001 Implementer Certifications
Exam Audience:	Information Security Management System Managers, Information Security Management System Consultants,

Total Questions

346

Last Updated

23-08-2026

Exam Duration

180 MINUTES

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Question: 1

An organization has justified the exclusion of control 5.18 Access rights of ISO/IEC 27001 in the Statement of Applicability (SoA) as follows: "An access control reader is already installed at the main entrance of the building." Which statement is correct'

AThe justification for the exclusion of a control is not required to be included in the SoA

BThe justification is not acceptable, because it does not reflect the purpose of control 5.18

CThe justification is not acceptable because it does not indicate that it has been selected based on the risk assessment results

Answer: B

Explanation:

According to ISO/IEC 27001:2022, clause 6.1.3, the Statement of Applicability (SoA) is a document that identifies the controls that are applicable to the organization's ISMS and explains why they are selected or not. The SoA is based on the results of the risk assessment and risk treatment, which are the previous steps in the risk management process. Therefore, the justification for the exclusion of a control should be based on the risk assessment results and the risk treatment plan, and should reflect the purpose and objective of the control.

Control 5.18 of ISO/IEC 27001:2022 is about access rights to information and other associated assets, which should be provisioned, reviewed, modified and removed in accordance with the organization's topic-specific policy on and rules for access control. The purpose of this control is to prevent unauthorized access to, modification of, and destruction of information assets. Therefore, the justification for the exclusion of this control should explain why the organization does not need to implement this control to protect its information assets from unauthorized access.

The justification given by the organization in the question is not acceptable, because it does not reflect the purpose of control 5.18. An access control reader at the main entrance of the building is a physical security measure, which is related to control 5.15 of ISO/IEC 27001:2022, not control 5.18. Control 5.18 is about logical access rights to information systems and services, which are not addressed by the access control reader. Therefore, the organization should either provide a valid justification for the exclusion of control 5.18, or include it in the SoA and implement it according to the risk assessment and risk treatment results.

ISO/IEC 27001:2022, clause 6.1.3, control 5.18; PECB ISO/IEC 27001 Lead Implementer Course, Module 5, slide 18, Module 6, slide 10.

Question: 2

Scenario 10: CircuitLinking is a company specializing in water purification solutions, designing and manufacturing efficient filtration and treatment systems for both residential and commercial applications. Over the past two years, the company has actively implemented an integrated management system (IMS) that aligns with both ISO/IEC 27001 for information security and ISO 9001 for quality management. Recently, the company has taken a significant step forward by applying for a combined audit, aiming to achieve certification against both ISO/IEC 27001 and ISO 9001.

In preparation for the certification audit, CircuitLinking ensured a clear understanding of ISO/IEC 27001 within the company and identified key subject-matter experts to assist the auditors. It also allocated sufficient resources and performed a self-assessment to verify that processes were clearly defined, roles and responsibilities were segregated, and documented information was maintained. To avoid delays, the company gathered all necessary documentation in advance to provide evidence that procedures were in place and effective.

Following the successful completion of the Stage 1 audit, which focused on verifying the design of the management system, the Stage 2 audit was conducted to examine the implementation and effectiveness of the information security and quality management systems.

One of the auditors, Megan, was a previous employee of the company. To uphold the integrity of the certification process, the company notified the certification body about the potential conflict of interest and requested an auditor change. Subsequently, the certification body selected a replacement, ensuring impartiality. Additionally, the company requested a background check of the audit team members; however, the certification body denied this request. The necessary adjustments to the audit plan were made, and transparent communication with stakeholders was maintained.

The audit process continued seamlessly under the new auditor's guidance. Upon audit completion, the certification body evaluated the results and conclusions of the audit and CircuitLinking's public information and awarded CircuitLinking the combined certification.

A recertification audit for CircuitLinking was conducted to verify that the company's management system continued to meet the required standards and remained effective within the defined scope of certification. CircuitLinking had implemented significant changes to its management system, including a major overhaul of its information security processes, the adoption of new technology platforms, and adjustments to comply with recent changes in industry legislation. Due to these substantial updates, the recertification audit required a Stage 1 assessment to evaluate the impact of these changes.

According to Scenario 10, the recertification audit activities at CircuitLinking included a Stage 1 audit. Is this acceptable?

ANo, the stage 1 audit is only required for initial certification

BYes, when there are significant changes to the management system, recertification audit activities may need to have a stage 1 audit

CNo, the stage 1 audit is only required when unresolved nonconformities from the previous audit cycle remain and have not been adequately addressed

DNo, stage 1 audits are only for new sites, not recertification

Answer: B

Explanation:

A Stage 1 audit is typically associated with initial certification, but according to ISO/IEC 17021-1:2015 (which governs certification audits and is referenced in ISO/IEC 27001 audit practice) and ISO/IEC 27006:2015 (guidance for ISMS certification), a Stage 1 audit may also be required in the context of recertification when there have been significant changes to the management system.

Relevant Extract:

ISO/IEC 17021-1:2015, Clause 9.6.3.2:

''Where there have been significant changes to the management system, the client, or the context in which the management system is operating (e.g., changes in legislation), a Stage 1 audit may be required as part of the recertification audit process.''

ISO/IEC 27006:2015, Clause 9.4.3.1:

''A stage 1 audit is performed as necessary, for example when there have been significant changes to the client or management system, or new sites are added.''

Thus, it is entirely in line with ISO/IEC 27001 and international certification practices to require a Stage 1 audit as part of a recertification audit if significant system, process, or context changes have occurred since the previous certification.

ISO/IEC 17021-1:2015, Clause 9.6.3.2

ISO/IEC 27006:2015, Clause 9.4.3.1

ISO/IEC 27001:2022 Implementation Guidance, Recertification Activities

Summary:

A Stage 1 audit may be required for recertification when there are significant changes to the management system, context, or scope. Therefore, the correct answer is:

B . Yes, when there are significant changes to the management system, recertification audit activities may need to have a stage 1 audit

Question: 3

Scenario 10: NetworkFuse develops, manufactures, and sells network hardware. The company has had an operational information security management system (ISMS) based on ISO/IEC 27001 requirements and a quality management system (QMS) based on ISO 9001 for approximately two years. Recently, it has applied for a j^ombined certification audit in order to obtain certification against ISO/IEC 27001 and ISO 9001.

After selecting the certification body, NetworkFuse prepared the employees for the audit The company decided to not conduct a self-evaluation before the audit since, according to the top management, it was not necessary. In addition, it ensured the availability of documented information, including internal audit reports and management reviews, technologies in place, and the general operations of the ISMS and the QMS. However, the company requested from the certification body that the documentation could not be carried off-site

However, the audit was not performed within the scheduled days because NetworkFuse rejected the audit team leader assigned and requested their replacement The company asserted that the same audit team leader issued a recommendation for certification to its main competitor, which, for the company's top management, was a potential conflict of interest. The request was not accepted by the certification body

NetworkFuse should_________________to ensure that employees are prepared for the audit. Refer to scenario 10.

AConduct practice interviews

BObserve the technologies used

CSelect a certification body that provides combined audits

Answer: A

Explanation:

One of the ways to prepare employees for an ISO/IEC 27001 audit is to conduct practice interviews with them. This can help them to familiarize themselves with the audit process, the types of questions they might be asked, and the evidence they need to provide to demonstrate compliance with the standard. Practice interviews can also help employees to identify any gaps or weaknesses in their knowledge or performance, and to address them before the actual audit. Practice interviews can be conducted by internal auditors, managers, or consultants, and should cover the relevant scope, objectives, and criteria of the audit. (From the PECB ISO/IEC 27001 Lead Implementer Course Manual, page 113)

PECB ISO/IEC 27001 Lead Implementer Course Manual, page 113

PECB ISO/IEC 27001 Lead Implementer Info Kit, page 10

5 Step Plan: How to Prepare for an ISO 27001 Certification Audit

Question: 4

Scenario 4: TradeB. a commercial bank that has just entered the market, accepts deposits from its clients and offers basic financial services and loans for investments. TradeB has decided to implement an information security management system (ISMS) based on ISO/IEC 27001 Having no experience of a management [^system implementation, TradeB's top management contracted two experts to direct and manage the ISMS implementation project.

First, the project team analyzed the 93 controls of ISO/IEC 27001 Annex A and listed only the security controls deemed applicable to the company and their objectives Based on this analysis, they drafted the Statement of Applicability. Afterward, they conducted a risk assessment, during which they identified assets, such as hardware, software, and networks, as well as threats and vulnerabilities, assessed potential consequences and likelihood, and determined the level of risks based on three nonnumerical categories (low, medium, and high). They evaluated the risks based on the risk evaluation criteria and decided to treat only the high risk category They also decided to focus primarily on the unauthorized use of administrator rights and system interruptions due to several hardware failures by establishing a new version of the access control policy, implementing controls to manage and control user access, and implementing a control for ICT readiness for business continuity

Lastly, they drafted a risk assessment report, in which they wrote that if after the implementation of these security controls the level of risk is below the acceptable level, the risks will be accepted

Based on scenario 4, what type of assets were identified during risk assessment?

ASupporting assets

BPrimary assets

CBusiness assets

Answer: A

Explanation:

According to ISO/IEC 27005:2021, there are three types of assets in information security risk management: primary assets, supporting assets, and business assets. Primary assets are the information and business processes that support the organization's objectives and operations. Supporting assets are the resources that enable the primary assets to function, such as hardware, software, networks, people, facilities, etc. Business assets are the outcomes or benefits that the organization expects from the primary assets, such as reputation, market share, customer satisfaction, etc. (Must be taken from ISO/IEC 27001 : 2022 Lead Implementer resources)

In scenario 4, the assets that were identified during risk assessment are hardware, software, and networks, which are examples of supporting assets. These assets are necessary for the information and business processes of TradeB to operate, but they are not the main focus of the risk assessment. The risk assessment should also consider the primary assets and the business assets, as well as the threats and vulnerabilities that affect them, and the potential impacts and likelihood of information security incidents.

ISO/IEC 27001 : 2022 Lead Implementer Study guide and documents, specifically:

ISO/IEC 27001:2022, clause 6.1.2 Information security risk assessment

ISO/IEC 27005:2021, clause 5.2 Asset identification and valuation

PECB ISO/IEC 27001 Lead Implementer Course, Module 6: Risk Management

Question: 5

Scenario 8: SunDee is an American biopharmaceutical company, headquartered in California, the US. It specializes in developing novel human therapeutics, with a focus on cardiovascular diseases, oncology, bone health, and inflammation. The company has had an information security management system (ISMS) based on SO/IEC 27001 in place for the past two years. However, it has not monitored or measured the performance and effectiveness of its ISMS and conducted management reviews regularly

Just before the recertification audit, the company decided to conduct an internal audit. It also asked most of their staff to compile the written individual reports of the past two years for their departments. This left the Production Department with less than the optimum workforce, which decreased the company's stock.

Tessa was SunDee's internal auditor. With multiple reports written by 50 different employees, the internal audit process took much longer than planned, was very inconsistent, and had no qualitative measures whatsoever Tessa concluded that SunDee must evaluate the performance of the ISMS adequately. She defined SunDee's negligence of ISMS performance evaluation as a major nonconformity, so she wrote a nonconformity report including the description of the nonconformity, the audit findings, and recommendations. Additionally, Tessa created a new plan which would enable SunDee to resolve these issues and presented it to the top management

How does SunDee's negligence affect the ISMS certificate? Refer to scenario 8.

ASunDee will renew the ISMS certificate, because it has conducted an Internal audit to evaluate the ISMS effectiveness

BSunDee might not be able to renew the ISMS certificate, because it has not conducted management reviews at planned intervals

CSunDee might not be able to renew the ISMS certificate, because the internal audit lasted longer than planned

Answer: B

Explanation:

According to ISO/IEC 27001:2013, clause 9.3, the top management of an organization must review the ISMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness. The management review must consider the status of actions from previous management reviews, changes in external and internal issues, the performance and effectiveness of the ISMS, feedback from interested parties, results of risk assessment and treatment, and opportunities for continual improvement. The management review must also result in decisions and actions related to the ISMS policy and objectives, resources, risks and opportunities, and improvement. The management review is a critical process that demonstrates the commitment and involvement of the top management in the ISMS and its alignment with the strategic direction of the organization. The management review also provides input for the internal audit and the certification audit.

SunDee has neglected to conduct management reviews regularly, which means that it has not fulfilled the requirement of clause 9.3. This is a major nonconformity that could jeopardize the renewal of the ISMS certificate. The certification body will verify whether SunDee has conducted management reviews and whether they have been effective and documented. If SunDee cannot provide evidence of management reviews, it will have to take corrective actions and undergo a follow-up audit before the certificate can be renewed. Alternatively, the certification body may decide to suspend or withdraw the certificate if SunDee fails to address the nonconformity within a specified time frame.

ISO/IEC 27001:2013, Information technology --- Security techniques --- Information security management systems --- Requirements, clause 9.3

PECB, ISO/IEC 27001 Lead Implementer Course, Module 9: Performance evaluation, measurement, and monitoring of an ISMS based on ISO/IEC 27001

PECB, ISO/IEC 27001 Lead Implementer Exam Preparation Guide, Section 9: Performance evaluation, measurement, and monitoring of an ISMS based on ISO/IEC 27001

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