ISO 27001 Lead Auditor
The “ISO/IEC 27001 Lead Auditor” certification is for people who want to show they can audit information security management systems and lead audit teams. To get certified, you need skills in planning and conducting audits, following the certification process, using audit techniques, and managing audit teams and programs.
Target Audience:
This certification is for:
- Auditors who want to lead information security management system audits.
- Managers or consultants who want to master the audit process for information security management systems.
- Individuals responsible for making sure their organization follows the ISMS requirements.
- Technical experts getting ready for an ISMS audit.
- Advisors who are experts in information security management.
Prerequisite:
- A basic grasp of ISO/IEC 27001 and a thorough understanding of audit principles are essential.
- Candidates must also have professional experience of two years with one year of work experience in Information Security Management and a total of 200 hours of Audit activities.
What you will learn?
Upon completion of this certification, candidates will be able to:
- Explain the basic concepts and principles of an information security management system (ISMS) following ISO/IEC 27001.
- Interpret the ISO/IEC 27001 requirements for an ISMS as an auditor.
- Assess ISMS compliance with ISO/IEC 27001 requirements using fundamental audit concepts and principles.
- Plan, execute, and conclude an ISO/IEC 27001 compliance audit, adhering to ISO/IEC 17021-1 requirements, ISO 19011 guidelines, and other auditing best practices.
- Oversee an ISO/IEC 27001 audit program.
Exam Details
The ISO 27001 Lead Auditor exam consists of 80 questions, which are all multiple-choice. This type of exam is designed to assess candidates’ understanding of both simple and complex concepts. It includes stand-alone questions that are independent and not context-dependent, as well as scenario-based questions that require candidates to respond to a situation presented in a scenario.
Candidates need to apply various concepts and principles learned during the training course, analyze problems, identify alternatives, and evaluate scenarios when answering these questions. Each multiple-choice question has three options, with one correct response (keyed response) and two incorrect options (distractors).
To pass the exam, candidates must achieve a score of 70%. The exam is open-book, allowing candidates to use reference materials such as a hard copy of the ISO/IEC 27001 standard, training course materials, personal notes from the course, and a hard copy dictionary.
Candidates can take the exam without attending the training course, with different fees for each type:
- Lead Exam: $1000
- Manager Exam: $700
- Foundation Exam: $500
- Transition Exam: $500
The application fee for certification is $500.
Course Outline
The content of the exam is as follows:
Domain 1: Understand the basic principles and concepts of an information security management system (ISMS)
Main objective: Ensuring that the candidate can explain and apply ISO/IEC 27001 principles and concepts.
Competencies:
- Ability to:
- Explain the main concepts of the of the information security management system
- Explain the organization’s operations and the development of information security standards
- Identify, analyze, and evaluate the information security compliance requirements for an organization
- Illustrate the main concepts in information security and information security risk management
- Explain the difference between information asset, data and record
- Understand, interpret, and illustrate the relationship between information security aspects such as controls, vulnerabilities, threats, risks, and assets
- Identify big data, artificial intelligence, machine learning, cloud computing, and outsourcing operations
Knowledge statements:
- Knowledge of:
- Information security laws, regulations, international and industry standards, contracts, market practices, internal policies, etc., an organization must comply with
- Main standards related to information security
- Concepts and terminology of ISO/IEC 27001
- Risk and its application in information security
- Relationship between information security aspects
- Difference and characteristics of security objectives and controls
- Usage of control attributes and the difference between preventive, detective, and corrective controls
- Characteristics of big data, artificial intelligence, machine learning, cloud computing, and outsourcing operations
Domain 2: Learn about information security management system (ISMS) and ISO/IEC 27001 requirements
Main objective: Ensuring that the candidate can identify and explain the requirements for an information security management system based on ISO/IEC 27001.
Competencies:
- Ability to:
- Understand the structure of the ISO/IEC 27001:2022 standard
- Understand the components of an information security management system based on ISO/IEC 27001 and its principal processes
- Interpret and analyze the requirements of ISO/IEC 27001
- Explain and illustrate the main steps to establish, implement, operate, monitor, review, maintain, and improve an organization’s ISMS
- Establish the external and internal factors related to the ISMS and determine the interested parties and their needs
- Determine the scope of the ISMS
- Ensure management commitment, establish an information security policy, and assign the ISMS roles and responsibilities
- Plan changes and actions to address risks
- Understand the risk assessment and risk treatment processes
- Understand the selection of appropriate controls based upon Annex A of ISO/IEC 27001 and other sources
- Ensure that employees are aware and competent to perform their ISMS related tasks
- Monitor and evaluate the performance of the ISMS and conduct internalaudits and management reviews
- Ensure continual improvement and implement appropriate actions to treat nonconformities
Knowledge statements:
- Knowledge of:
- ISO/IEC 27001:2022 standard and its supporting standards
- Concepts, principles and terminology related to management systems
- Principal characteristics of an integrated management system
- ISO/IEC 27001 requirements presented in the clauses 4 to 10
- 93 controls listed in ISO/IEC 27001 Annex A
- ISMS internal and external factors and interested parties
- Main steps to establish the ISMS scope and information security policy
- Top management’s leadership and commitment and the organizational roles and responsibilities related to the ISMS
- Security objectives, processes and procedures relevant to managing risks, and improving information security to deliver results under an organization’s overall policies and objectives
- Risk assessment and treatment approaches and methodologies
- Selection of Annex A controls and additional controls based on other sources and their inclusion in the Statement of Applicability
- Performance evaluation process including monitoring, measurement, analysis and evaluation, internal audit, and management review
- Concept of continual improvement and its application to an ISMS
Domain 3: Basic audit concepts and principles
Main objective: Ensuring that the candidate can interpret and apply the main concepts and principles related to an ISMS audit.
Competencies:
- Ability to:
- Understand, explain and illustrate the application of the audit principles in an ISMS audit
- Differentiate first, second, and third party audits
- Judge situations that would discredit the professionalism of the auditor and violate the PECB code of ethics
- Identify ethical issues considering the obligations related to the audit client, auditee, law enforcement, and regulatory authorities
- Understand the actions that the auditor should take regarding the legal implications related to any irregularities committed by the auditee
- Apply the audit evidence approach in the context of an ISMS audit
- Compare evidence types and their characteristics
- Justify the type and amount of evidence required in an ISMS audit
- Impact of trends and technology in auditing
Knowledge statements:
- Knowledge of:
- Main audit concepts and terminology as described in ISO 19011
- Differences between first, second ,and third party audits
- Principles of auditing such as integrity, fair presentation, due professional care, confidentiality, independence, evidencebased approach, and risk-based approach
- Auditor’s professional responsibility and the PECB Code of Ethics
- Evidence-based approach in an audit
- Different types of audit evidence such as physical, mathematical, confirmative, technical, analytical, documentary, and verbal
- Laws and regulations applicable to the auditee and the country it operates in
- Use of big data in audits
- Auditing of outsourced operations
Domain 4: Learn how to prepare an ISO/IEC 27001 audit
Main objective: Ensuring that the candidate has skills to prepare an information security management system audit.
Competencies:
- Ability to:
- Understand and illustrate the steps and activities to prepare an ISMS audit considering the specific context of the audit
- Evaluate the level of materiality and apply the risk-based approach during the different stages of an ISMS audit
- Judge the appropriate level of reasonable assurance needed for an ISMS audit
- Explain the roles and responsibilities of the audit team leader, audit team members, and technical experts
- Determine the audit feasibility
- Evaluate and confirm the audit objectives, the audit criteria, and the audit scope for an ISMS audit
- Define the characteristics of the terms of the audit engagement and apply the best practices to establish the initial contact with an auditee
Knowledge statements:
- Knowledge of:
- Audit plan preparation procedure
- Risk-based approach to an audit and the different types of risks related to audit activities such as inherent risk, control risk, and detection risk
- Knowledge of the concept of materiality and its application to an audit
- Concept of reasonable assurance and its application to an audit
- Audit team leader, audit team members, and technical experts responsibilities
- Audit objectives, audit scope, and audit criteria
- Difference between an ISMS scope and the audit scope
- Factors to take into account during the audit feasibility
- Cultural aspects to consider in an audit
- Audit engagement and the best practices to establish the initial contact with an auditee
Domain 5: Understand how to conduct an ISO/IEC 27001 audit
Main objective: Ensuring that the candidate can conduct an ISMS audit.
Competencies:
- Ability to:
- Conduct the stage 1 audit, taking into account the documented information evaluation criteria
- Organize and conduct an opening meeting Conduct the stage 2 audit by appropriately following the procedures that this stage entails
- Apply the best practices of communication to collect the appropriate audit evidence
- Consider the roles and responsibilities of all the interested parties involved
- Apply evidence collection procedures and tools
- Apply the main audit sampling methods
- Gather appropriate evidence from the available information during an audit and evaluate it objectively
- Develop audit working papers and elaborate appropriate audit test plans in an ISMS audit
- Apply the evidence evaluation process of drafting audit findings
- Illustrate the concept of the benefit of the doubt
- Report appropriate audit observations in accordance with audit rules and principles
- Conduct quality reviews to audit documentation
- Complete audit working documents
Knowledge statements:
- Knowledge of:
- Objectives and the content of the opening meeting in an audit
- Difference between stage 1 audit and stage 2 audit
- Stage 1 audit requirements, steps, and activities
- Documented information evaluation criteria and ISO/IEC 27001 requirements
- Stage 2 audit requirements, steps, and activities
- Best communication practices during an audit
- Roles and responsibilities of guides and observers during an audit
- Different conflict resolution techniques
- Evidence collection procedures and tools such as interview, documented information review, observation, analysis, sampling and technical verification
- Evidence analysis techniques of corroboration and evaluation
- Main concepts, principles, and evidence collection procedures used in an audit
- Advantages and disadvantages of using audit checklists
- Main audit sampling methods and their characteristics
- Audit plan preparation procedure
- Preparation and development of audit working papers
- Best practices for the creation of audit test plans
- Evidence evaluation process to draft audit findings
Domain 6: Learn about closing an ISO/IEC 27001 audit
Main objective: Ensuring that the candidate can conclude an ISMS audit and conduct audit follow-up activities.
Competencies:
- Ability to:
- Explain and apply the evidence evaluation process of preparing audit conclusions
- Justify the recommendation for certification
- Draft and present audit conclusions
- Organize and conduct a closing meeting
- Write and distribute an ISO/IEC 27001 audit report
- Evaluate action plans
Knowledge statements:
- Knowledge of:
- Evidence evaluation process of preparing audit conclusions
- Presenting audit conclusions
- Guidelines and best practices to present audit conclusions to the management of an audited organization
- Possible recommendations that an auditor can issue during the certification audit
- Closing meeting agenda
- Best practices to evaluate action plans
Domain 7: Understand how to manage an ISO/IEC 27001 audit program
Main objective: Ensuring that the candidate can establish and manage an ISMS audit program.
Competencies:
- Ability to:
- Conduct the activities following an initial audit, including audit follow-ups and surveillance activities
- Understand the establishment of an audit program and the application of the PDCA cycle into an audit program
- Explain the importance of protecting the integrity, availability, and confidentiality of audit records and the auditors’ responsibilities in this regard
- Explain the responsibilities to protect the integrity, availability and confidentiality of audit records
- Understand the requirements related to the components of the management system of an audit program as quality management, record management, complaint management
- Explain the way that the combined audits are handled in an audit program
- Understand the documented information management process
- Understand the process of evaluating the efficiency of the audit program by monitoring the performance of each auditor and audit team member
- Demonstrate the application of the personal attributes and behaviors associated with professional auditors
Knowledge statements:
- Knowledge of:
- Audit follow-ups, surveillance audits, and recertification audit requirements, steps, and activities
- Conditions for the modification, extension, suspension, or withdrawal of an organization’s certification
- Application of the PDCA cycle in the management of an audit program
- Requirements, guidelines, and best practices regarding audit resources, procedures, and policies
- Types of tools used by professional auditors
- Requirements, guidelines, and best practices regarding the management of audit records
- Application of the continual improvement concept to the management of an audit program
- Implementing and managing a first, second or third-party audit program Knowledge of the competency concept and its application to auditors
- Management of combined audits
- Personal attributes and behaviors of a professional auditor
ISO 27001 Lead Auditor Exam FAQs
Exam Policies
PECB has specific policies regarding its exams, including the following:
Taking the Exam:
- Candidates need to be present at least 30 minutes before the exam.
- Latecomers won’t receive extra time and may not be allowed to take the exam.
- A valid ID (national ID, driver’s license, or passport) must be presented.
- Additional time may be given for non-native language speakers on request.
PECB Exam Formats:
- Paper-based: Candidates use only the exam paper and a pen; no electronic devices are allowed.
- Online: Exams are electronically provided via the PECB Exams application, supervised remotely.
Exam Results:
- Results are communicated through email.
- Timeframe: 3 to 8 weeks for essay-type exams, 2 to 4 weeks for multiple-choice paper-based exams, and instant results for online multiple-choice exams.
- Successful candidates can apply for certification. Unsuccessful ones receive guidance on improvement.
Exam Retake Policy:
- Candidates can retake the exam with no set limit, but there are time constraints.
- A 15-day waiting period is required after the first attempt.
- If a candidate fails the first attempt after completing a partner’s training course, they can retake it for free within 12 months.
- Otherwise, retake fees apply, and PECB suggests attending a training course for better preparation after a failed retake.
Renewing Certification:
- PECB certifications are valid for three years.
- Certified professionals must meet credential-related requirements, including continual professional development (CPD) hours.
- An annual maintenance fee of $120 is required to keep the certification active.
ISO 27001 Lead Auditor Exam Study Guide
1. Use the ISO 27001 Lead Auditor Training Course
The ISO/IEC 27001 Lead Auditor training helps you gain the expertise needed to conduct an audit of an Information Security Management System (ISMS) using well-known audit principles, procedures, and techniques.
During this course, you’ll learn how to plan and conduct internal and external audits following the ISO 19011 and ISO/IEC 17021-1 certification process. Practical exercises will help you master audit techniques, allowing you to effectively manage an audit program, audit team, communicate with customers, and handle conflicts.
Once you’ve acquired the necessary skills, you can take the exam and apply for a “PECB Certified ISO/IEC 27001 Lead Auditor” credential. This certification demonstrates your capabilities to audit organizations according to best practices.
Educational Approach:
- The training combines theory and best practices in ISMS audits.
- Lecture sessions include examples from case studies.
- Practical exercises involve role-playing and discussions based on a case study.
- Practice tests resemble the Certification Exam.
What does the course offer?
- Certification and examination fees are included in the training course price.
- Participants receive training materials with over 450 pages of information and practical examples.
- An attestation of course completion, worth 31 CPD (Continuing Professional Development) credits, is issued to participants.
- If you fail the exam, you can retake it for free within 12 months.
2. Use PECB eLearning
eLearning training courses are tailored to meet individual needs and are designed to overcome spatial and temporal constraints. Experienced trainers worldwide deliver each course, which is divided into video sections and subsections with corresponding animations. These animations align with traditional Microsoft PowerPoint training structures. Quizzes are integrated to keep participants engaged.
Key advantages of the PECB eLearning experience include:
- Conducting the entire training and examination electronically, requiring only a device (e.g., computer, tablet, smartphone) and internet access via the KATE application.
- 24/7 access allows individuals to set their study pace without concerns about schedules, travel, or accommodation, and without needing time off from work.
- Unlimited access permits revisiting any section of the training course as needed.
- The course structure with video sections aims to simplify information reception and processing, similar to listening to podcasts during commutes.
In this eLearning training, participants will gain knowledge and skills to plan and execute internal and external audits following ISO 19011 and ISO/IEC 17021-1 certification processes. They’ll also learn to master audit techniques, manage audit programs and teams, communicate with customers, and resolve conflicts.
Upon acquiring the necessary skills for ISMS audits, participants can take the exam and apply for a “PECB Certified ISO 27001 Lead Auditor” credential. Holding this certification demonstrates capabilities and competencies in auditing organizations based on best practices.
3. Use the Exam Handbook
Access all the essential information about the ISO 27001 Lead Auditor exam through the candidate handbook provided. This handbook serves as your primary guide, offering details on the exam’s structure, format, topics, rules, and more. Everything you need to know about taking the exam is conveniently compiled in one place, making it a valuable resource for your preparation. Ensure you thoroughly review the handbook to familiarize yourself with the exam and increase your chances of success.
4. Take Practice Tests
Taking practice tests for the ISO 27001 Lead Auditor exam is a clever and efficient way to get ready for the real test. These practice exams simulate the actual exam conditions, getting you used to the format, types of questions, and time limitations. They help you pinpoint your strengths and areas that need improvement, allowing you to focus your study efforts where they’ll be most useful.
Answering practice questions not only improves your grasp of key concepts but also assesses your readiness for the actual exam. Additionally, these tests boost confidence and reduce anxiety about the exam, giving you a preview of what to expect on the actual day. Utilize this valuable resource to enhance your exam readiness, increase your familiarity with the material, and improve your chances of success in the ISO 27001 Lead Auditor exam.
