LEAD-AUDITOR Free Sample Questions

A lead auditor is reviewing the ISMS documentation of a multinational logistics company. The company has defined its ISMS scope to include all corporate offices but has explicitly excluded its third-party shipping and warehouse partners, despite these partners handling sensitive customer data. The auditee's justification is that these partners are contractually obligated to maintain their own security. According to ISO/IEC 27001, Clause 4.3, how should the auditor evaluate this scoping decision?

During a Stage 2 audit of a financial services firm, the lead auditor is assessing the effectiveness of the change management process (Clause 8.1). The auditor selects a sample of recent changes, including a critical security patch to the core banking system. The firm provides evidence of testing in a staging environment and documented approval from the Change Advisory Board (CAB). However, there is no record of a post-implementation review to confirm the change was successful and had no unintended adverse impacts. What is the most appropriate action for the lead auditor?

An audit team is preparing for a certification audit. The lead auditor must ensure the team possesses the necessary collective competence. Which of the following factors are essential for the lead auditor to consider when selecting the audit team? (Select TWO)

According to ISO 19011, the principle of 'due professional care' implies that auditors are expected to make reasoned judgments in all audit situations.

**Case Study:** A mid-sized renewable energy company, 'Voltara,' is undergoing its first ISO/IEC 27001 certification audit. Voltara manages a smart grid infrastructure, which includes Industrial Control Systems (ICS) and Operational Technology (OT) environments that are critical for energy distribution. The ISMS scope includes both the corporate IT network and the OT network that controls the grid. The company's risk assessment identifies a high risk of service disruption from cyberattacks on the OT network. During the Stage 2 audit, the lead auditor reviews the Statement of Applicability (SoA) and the implementation of Annex A controls. The SoA indicates that control A.5.10 (Acceptable use of information and other associated assets) has been implemented through a corporate acceptable use policy. The auditor interviews an OT network engineer who is unaware of this policy and explains that their team follows unwritten 'standard practices' for system use to ensure grid stability. The audit team also finds that while the company has a robust incident management process for the IT network, the process for the OT network is separate and managed by the engineering team. There is no formal process for the IT security team to be notified of or involved in OT security incidents. Furthermore, remote access for third-party maintenance of OT systems is granted via a shared account, with credentials that have not been changed in over a year. Based on the scenario, which of the following represents the MOST significant finding the lead auditor should raise?

A lead auditor is drafting the audit plan for a Stage 2 certification audit. To ensure the audit is conducted efficiently, the plan must be communicated to the auditee in advance. According to ISO 19011, which element is NOT a mandatory component of the formal audit plan?

During an audit closing meeting, the auditee's management vehemently disagrees with a minor nonconformity raised by the audit team, claiming the auditor misinterpreted the evidence. What is the most professional and appropriate immediate action for the lead auditor to take in the meeting?

A university is implementing an ISMS to protect its sensitive research data. The leadership wants to ensure that the ISMS is not just a 'paper exercise' but delivers tangible value. According to ISO/IEC 27001, Clause 5.1 (Leadership and commitment), which of the following actions demonstrates leadership commitment most effectively?

An auditor is reviewing a company's information security risk assessment methodology. The methodology defines risk levels using a qualitative scale: Low, Medium, and High. The criteria for these levels are not documented. How does this impact the audit?

A lead auditor is planning a remote audit of a software development company. Which of the following are critical considerations for ensuring the effectiveness and integrity of the remote audit? (Select TWO) ```mermaid flowchart TD A[Start Planning] --> B{Audit Type?} B -->|On-site| C[Traditional Plan] B -->|Remote| D[Remote Audit Plan] D --> E{Technology Check} E -->|OK| F[Confirm Connectivity & Tools] E -->|Fail| G[Reschedule/Resolve] F --> H[Conduct Audit] C --> H H --> I[End] ```