2025 ISO-IEC-27001-Lead-Auditor-CN exam torrent ISO-IEC-27001-Lead-Auditor-CN Study Guide
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NEW QUESTION # 84
您是認證機構審核員，負責對為 ICT 設施提供託管服務的客戶營運的資料中心進行 ISO/IEC 27001:2022 監督審核。
您和您的導遊目前位於客戶出租給客戶的私人套房之一。每間套房的出入均使用密碼鎖進行控制。每間套房也安裝了閉路電視。
每個套件內有三個資料櫃，客戶可以在其中放置關鍵任務伺服器和其他網路設備，例如交換器和路由器。
您注意到，雖然套房中的兩個櫃子已上鎖，但第三個櫃子卻未上鎖。你問導遊為什麼。他們回覆「這是因為客戶目前正在更換硬碟單元。他們的技術人員目前正在午休」。
接下來你應該採取哪三項行動？
- A. 針對控制措施 7.2「實體進入」提出不符合項，因為客戶設備所在的區域不受保護。
- B. 針對控制措施 5.16「身分管理」提出不符合項，因為可能無法辨識誰未上鎖櫃子。
- C. 查看閉路電視記錄，確保自上次確認櫃子鎖定以來只有客戶曾造訪過櫃子。
- D. 當技術人員吃完午餐回來時，斥責他們沒有打開櫃子。
- E. 針對控制措施 7.4「實體安全監控」提出不符合項，因為私人套房未持續受到未經授權的實體存取監控。
- F. 什麼也不做，房間看起來受到了充分的保護，因此不太可能發生安全事件。
- G. 在嚮導許可的情況下，與客戶聯繫以確認他們正在更換驅動器。
- H. 提出改進的機會，建議每當客戶離開套房時就鎖上櫃門，即使他們打算在短時間內返回。
Answer: C,G,H
Explanation:
Leaving the cabinet unlocked while the technician is on a lunch break exposes the client's equipment and data to potential physical security risks, such as theft, damage, or tampering. This is a violation of the ISO/IEC
27001:2022 requirements for physical entry (control 7.2) and physical security monitoring (control 7.4), which aim to prevent unauthorized access to information processing facilities and assets. Therefore, the appropriate actions for the auditor are:
* Raise an opportunity for improvement (OFI) suggesting that the cabinet doors are locked whenever clients leave their suites, even if they intend to return within a short time. This would enhance the security of the client's equipment and data, and reduce the likelihood of security incidents.
* Review the CCTV records to ensure that only the client has accessed the cabinet since it was last confirmed as locked. This would verify the integrity and availability of the client's equipment and data, and identify any possible unauthorized access or interference.
* With the permission of the guide, speak to the customer to confirm that they are in the process of swapping out a drive. This would validate the reason for leaving the cabinet unlocked, and assess the impact and risk of the activity on the client's information security.
References: =
* ISO/IEC 27001:2022, clause 7.2, Physical entry
* ISO/IEC 27001:2022, clause 7.4, Physical security monitoring
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 19, Audit Process
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 21, Audit Findings
NEW QUESTION # 85
場景 7：Lawsy 是一家領先的律師事務所，在新澤西州和紐約市設有辦公室。它擁有 50 多名律師，為商業法、智慧財產權、銀行和金融服務領域的客戶提供完善的法律服務。他們相信，由於他們致力於實施資訊安全最佳實踐並跟上技術發展的步伐，他們在市場上佔據了有利的地位。
Lawsy 已經嚴格實施、評估和進行 ISMS 內部審核兩年了。
現在，他們已向知名且值得信賴的認證機構ISMA申請ISO/IEC 27001認證。
在第一階段審核期間，審核小組審查了實施過程中所建立的所有 ISMS 文件。
他們還審查和評估了管理審查和內部審計的記錄。
Lawsy 提交了證據記錄，表明在必要時對不合格項採取了糾正措施，因此審核組約談了內部審核員。訪談透過提供對內部稽核計畫和程序的詳細了解，驗證了內部稽核的充分性和頻率。
審計小組繼續驗證戰略文件，包括資訊安全政策和風險評估標準。在資訊安全政策審查期間，團隊注意到描述治理框架（即資訊安全政策）的記錄資訊與程序之間存在不一致。
儘管允許員工將筆記型電腦帶到工作場所之外，但 Lawsy 並沒有製定有關在這種情況下使用筆記型電腦的程序。此政策僅提供有關筆記型電腦使用的一般資訊。該公司依靠員工的常識來保護筆記型電腦中儲存的資訊的機密性和完整性。該問題已記錄在第一階段審計報告中。
完成第一階段審核後，審核組長準備了審核計劃，其中規定了審核目標、範圍、標準和程序。
在第二階段審核期間，審核小組約談了資安經理，資安經理起草了資訊安全政策。他透過指出 Lawsy 每三個月舉辦一次強制性資訊安全培訓和意識課程來證明第一階段中確定的問題的合理性。
面談後，審核小組檢查了 15 份員工培訓記錄（共 50 份），得出的結論是 Lawsy 符合 ISO/IEC 27001 有關培訓和意識的要求。為了支持這個結論，他們影印了檢查過的員工訓練記錄。
根據上述場景，回答以下問題：
審計小組複印了所檢查的員工培訓記錄以支持他們的結論。審計團隊在採取此行動之前是否應該獲得 Lawsy 的批准？請參閱場景 7。
- A. 是的。審核小組在驗證所有情況下流程的存在時（包括做筆記和影印文件時）應獲得受審核方的批准
- B. 是的，如果受審核方同意，審核小組可以影印審核期間觀察到的文件
- C. 不可以，審核小組有權影印文件，以驗證某份文件是否符合審核標準
Answer: B
Explanation:
Yes, the audit team should obtain approval from Lawsy before photocopying documents. This is a best practice to ensure that the auditee agrees to the duplication of documents, which might contain sensitive or confidential information. Although auditors can observe and note down information, copying documents typically requires explicit permission to maintain trust and ensure compliance with confidentiality agreements.
References: ISO 19011:2018, Guidelines for auditing management systems
NEW QUESTION # 86
您正在國際物流組織的出貨部門進行資訊安全管理系統審核，該組織為當地醫院和政府辦公室等大型組織提供運輸服務。
包裹通常包含藥品、生物樣本以及護照和駕駛執照等文件。
您注意到公司記錄顯示大量退貨，原因包括標籤地址錯誤，以及在 15% 的情況下，一個包裹的不同地址有兩個或多個標籤。您正在面試運輸經理 (SM)。
您：出貨前檢查過嗎？
SM：任何明顯損壞的物品都會在出貨前由值班人員移除，但利潤微薄，因此實施正式檢查流程並不經濟。
您：退貨後會採取什麼措施？
SM：這些合約大多價值相對較低，因此我們認為，簡單地重新列印標籤並重新發送單一包裹比實施調查更容易、更方便。
您提出了不符合 ISO 27001:2022 第 8.1 條的要求。
以下哪一項最能描述您發現的不合格項？
- A. 組織沒有有效的流程來確保滿足資料保護的服務要求和監管要求。記錄顯示，15% 的退回包裹包含受保護的資訊（可能包括敏感的醫療資訊或政府部門通訊資訊），但沒有足夠的操作流程來滿足資訊安全要求。
- B. 組織沒有適當的審核流程來確保滿足資料保護的服務要求和監管要求。記錄顯示，15% 的退回包裹中包含不準確的資訊（可能包括敏感的醫療資訊或政府部門通訊資訊），且沒有足夠的操作規則來滿足資訊安全要求。
- C. 組織沒有有效的流程來確保滿足資料保護的服務要求和監管要求。記錄顯示，15% 的退回包裹向收件人洩露了供另一方使用的資訊（可能包括敏感的醫療資訊或政府部門通訊資訊），而沒有足夠的操作控制來滿足資訊安全要求。
- D. 組織沒有經過批准的流程來確保滿足資料保護的服務要求和監管要求。記錄顯示，15%的退回包裹已更正了收件人的另一方資訊（可能包括敏感的醫療資訊或政府部門通訊資訊），但沒有足夠的操作方法來滿足資訊安全要求。
- E. 組織沒有有效的流程來確保滿足資料保護的服務要求和監管要求。記錄顯示，15% 的退回包裹包含向收件人另一方提供的詳細資訊（可能包括敏感的醫療資訊或政府部門通訊資訊），但沒有足夠的操作程序來滿足資訊安全要求。
Answer: C
Explanation:
The non-conformity you have identified relates to the organization's failure to implement adequate operational controls to ensure that service and regulatory requirements for data protection are met. This situation is particularly critical given the nature of the items being shipped, which include sensitive medical information and government documents. The fact that 15% of returned parcels have labels for different addresses, potentially exposing sensitive information to incorrect recipients, underscores the lack of effective information security practices.
The best description of the non-conformity, based on the details provided and the requirements of ISO/IEC
27001:2022, particularly clause 8.1 which deals with operational planning and control, would be:
C: The organisation does not have an effective process in place that ensures service requirements and regulatory requirements for data protection are met. Records show that 15% of returned parcels have disclosed information intended for another party to the recipient (which may include sensitive medical information or government department communications) without adequate operational controls to meet information security requirements.
This option accurately captures the essence of the non-conformity by highlighting the lack of effective operational controls to protect sensitive information, leading to potential unauthorized disclosure of information intended for another party. This is a direct violation of information security management principles, particularly those related to the protection of confidentiality and integrity of information as mandated by ISO/IEC 27001:2022.
NEW QUESTION # 87
場景 2：Knight 是一家來自美國北加州的電子公司，開發電玩遊戲機。 Knight 在全球擁有 300 多名員工。在成立五週年之際，他們決定推出 G-Console，這是一款面向全球市場的新一代電玩遊戲機。 G-Console被認為是2021年的終極媒體機，將為玩家帶來最佳的遊戲體驗。
主機包將包括一副 VR 耳機、兩個
遊戲和其他禮物。
多年來，公司透過誠信、誠實和尊重客戶而建立了良好的聲譽。這種良好的聲譽是大多數熱衷遊戲玩家在Knight的G-console一上市就想擁有它的原因之一。
Knight 除了是一家非常以客戶為導向的公司之外，
也因其開發品質獲得了遊戲產業的廣泛認可。他們的價格比合理標準允許的要高一些。
儘管如此，對於 Knight 的大多數忠實客戶來說，這並不是一個問題，因為它們的品質是一流的。
作為世界頂級視訊遊戲機開發商之一，Knight 也經常成為惡意活動的焦點。該公司的 ISMS 已投入運作一年多了。 ISMS 範圍包括 Knight 的所有部門（財務和人力資源部門除外）。
最近，奈特的一些包含專有資訊的文件被駭客洩露。 Knight 的事件回應團隊 (IRT) 立即開始分析系統的每個部分以及事件的詳細資訊。
IRT 的第一個懷疑是 Knight 的員工使用了弱密碼，因此很容易被未經授權存取其帳戶的駭客破解。然而，在仔細調查該事件後，IRT 確定駭客透過擷取檔案傳輸協定 (FTP) 流量來存取帳戶。
FTP 是一種用於在帳戶之間傳輸檔案的網路協定。它使用明文密碼進行身份驗證。
受此資訊安全事件的影響，在IRT的建議下，Knight決定用Secure Shell (SSH)協定取代FTP，這樣任何捕獲流量的人都只能看到加密的資料。
在這些變化之後，奈特進行了風險評估，以驗證控制措施的實施是否已將類似事件的風險降至最低。該過程的結果得到了 ISMS 專案經理的批准，他聲稱實施新控制措施後的風險等級符合公司的風險接受程度。
根據該場景，回答以下問題：
FTP 使用明文密碼進行驗證。這是一個 FTP：
- A. 風險
- B. 漏洞
- C. 威脅
Answer: B
Explanation:
The use of clear text passwords for authentication in FTP is a vulnerability because it is a weakness that can be exploited by threat actors. Clear text passwords can be intercepted easily by network sniffers or through man-in-the-middle attacks, making them a significant security risk1. References: = This explanation is consistent with the understanding of vulnerabilities within the field of information security, particularly as it relates to network protocols like FTP and their associated risks
NEW QUESTION # 88
情境 4：SendPay 是一家金融公司，透過代理商和金融機構網路提供服務。他們的主要服務之一是在全球範圍內轉帳。 SendPay 作為一家新公司，致力於為客戶提供最優質的服務。由於該公司提供國際交易，因此要求客戶提供個人信息，例如身份、交易原因以及完成交易可能需要的其他詳細信息。因此，SendPay 已實施安全措施來保護客戶的訊息，包括偵測、調查和回應可能出現的任何資訊安全威脅。他們對提供安全服務的承諾也體現在 ISMS 實施過程中，該公司投入了大量時間和資源。
去年，SendPay 推出了他們的數位平台，允許透過智慧型手機或筆記型電腦等電子設備進行貨幣交易，而無需支付額外費用。透過這個平台，SendPay 的客戶可以隨時隨地發送和接收資金。該數位平台幫助SendPay簡化了公司營運並進一步拓展了業務。當時SendPay正在外包其軟體業務，因此該專案是由外包公司的軟體開發團隊完成的。
該團隊還負責維護 SendPay 的技術基礎設施。
最近，該公司在實施 ISMS 近一年後申請了 ISO/IEC 27001 認證。他們與符合其標準的認證機構簽訂了合約。不久之後，認證機構任命了一個由四名審核員組成的團隊來審核 SendPay 的 ISMS。
審計過程中，發現以下情況：
1.外包軟體公司在未事先通知的情況下終止了與SendPay的合約。結果，SendPay 無法立即將服務恢復到內部，其營運中斷了五天。審計人員要求 SendPay 的代表提供證據，證明他們在合約終止的情況下有計劃遵循。這些代表沒有提供任何書面證據，但在接受審計時，他們告訴審計人員，SendPay的高層已經確定了另外兩家軟體開發公司，如果類似情況再次發生，可以立即提供服務。
2. 沒有證據顯示對外包給軟體開發公司的活動進行了監控。 SendPay 的代表再次告訴審計人員，他們定期與軟體開發公司溝通，並適當地告知可能發生的任何變更。
3.防火牆測試未發現異常狀況。審核員測試了防火牆配置，以確定這些服務提供的安全等級。他們使用資料包分析器來測試防火牆策略，這使他們能夠即時檢查發送或接收的資料包。
根據該場景，回答以下問題：
關於觀察到的第三種情況，審計人員自己測試了SendPay網路中實施的防火牆的配置。您如何描述這種情況？請參閱場景 4。
- A. 不可接受，審核期間不應測試防火牆配置，因為這可能會影響系統的運作
- B. 不可接受，審核員應僅觀察系統或設備配置的測試，而不應自行測試系統
- C. 可接受的，需要技術證據來驗證技術流程的運作
Answer: C
Explanation:
It is acceptable and often necessary for auditors to test technical controls such as firewalls to validate the operation and effectiveness of these processes during an ISMS audit. This hands-on testing provides concrete, technical evidence of the security measures' performance.
References: ISO/IEC 27001:2013 Standard, Clause A.13 (Communications security), ISO 19011:2018, Guidelines for auditing management systems
NEW QUESTION # 89
您是 ISMS 審計團隊負責人，負責在客戶的資料中心進行後續審計。
現場兩天后，您得出結論，在促使進行後續審核的最初 12 項輕微不符合項和 1 項重大不符合項中，只有 1 項輕微不符合項仍未解決。
選擇您可以採取的動作的四個選項。
- A. 結束後續審核，因為組織已證明其致力於清除提出的不合格項
- B. 建議管理審核計畫的個人就突出的不合格項所做的任何決定
- C. 在一項未解決的輕微不合格項被清除後，預約另一次現場後續審核以對其進行審查
- D. 告知受審核方您將安排線上審核來處理突出的不合格項
- E. 記下所取得的進展，但保持審核開放，直到所有糾正措施都被清除
- F. 與受審核方/審核客戶同意如何清除剩餘的不合格項、何時以及如何驗證其清除
- G. 建議下次監督審核時處理未解決的輕微不符合項
- H. 建議暫停該組織的認證，因為該組織未能在商定的時間內實施商定的糾正措施和糾正措施
Answer: A,B,F,G
Explanation:
According to ISO 19011:2018, which provides guidelines for auditing management systems, clause 6.7 requires the audit team leader to conduct a follow-up audit to verify the implementation and effectiveness of the corrective actions taken by the auditee in response to the nonconformities identified during a previous audit1. The follow-up audit should be conducted in accordance with the same principles and processes as the initial audit, and should result in a conclusion on the status of the nonconformities and any remaining issues1.
Therefore, when conducting a follow-up audit, an ISMS auditor should consider the following actions:
* Recommend that the outstanding minor nonconformity is dealt with at the next surveillance audit: This action is appropriate because it reflects the fact that the auditee has cleared most of the nonconformities, including the major one, and only one minor nonconformity remains outstanding. A minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its overall effectiveness or conformity2. Therefore, this finding does not prevent or preclude the continuation of certification, as long as it is addressed by appropriate corrective actions within a reasonable time frame. The auditor should recommend that the outstanding minor nonconformity is dealt with at the next surveillance audit, which is a regular audit conducted by the certification body to confirm the ongoing conformity and effectiveness of an ISMS3.
* Agree with the auditee/audit client how the remaining nonconformity will be cleared, by when, and how its clearance will be verified: This action is appropriate because it reflects the fact that the auditee has demonstrated commitment and capability to implement corrective actions for the nonconformities identified during the previous audit. The auditor should agree with the auditee/audit client on a realistic, achievable, and effective corrective action plan for the remaining nonconformity, including a clear deadline and verification method. The auditor should also document this agreement in the follow-up audit report1.
* Advise the individual managing the audit programme of any decision taken regarding the outstanding nonconformity: This action is appropriate because it reflects the fact that the auditor has followed a systematic and consistent approach to conducting and reporting the follow-up audit. The auditor should advise the individual managing the audit programme of any decision taken regarding the outstanding nonconformity, such as recommending its closure at the next surveillance audit or agreeing on a corrective action plan with the auditee/audit client. The auditor should also provide sufficient information and evidence to support their decision1.
* Close the follow-up audit as the organisation has demonstrated it is committed to clearing the nonconformities raised: This action is appropriate because it reflects the fact that the organisation has achieved satisfactory results in the follow-up audit. The auditor should close the follow-up audit as the organisation has demonstrated it is committed to clearing the nonconformities raised by implementing effective corrective actions for most of them and agreeing on a plan for the remaining one. The auditor should also communicate the follow-up audit conclusion to the auditee/audit client and other relevant parties1.
NEW QUESTION # 90
本組織擁有第三方認證機構核發的 ISO/IEC 27001 資訊安全管理系統 (ISMS) 認證。下列哪一項代表了擁有認可認證的優點？
- A. 客戶端數量增加
- B. 審核報告的清晰度
- C. 組織產品的行銷價格上漲
- D. 對認證過程可信度的認可。
Answer: D
Explanation:
One of the advantages of having accredited certification of ISMS to ISO/IEC 27001:2022 is that it demonstrates the recognition of the credibility of the certification process. Accredited certification means that the certification body has been assessed and approved by an accreditation body, which ensures that the certification body operates according to international standards and follows impartiality, competence and consistency principles. Accredited certification also enhances the confidence of the organisation's customers, partners, regulators and other interested parties in the organisation's information security performance and compliance. References: = ISO/IEC 27001:2022, clause 0.2; [PECB Candidate Handbook ISO 27001 Lead Auditor], page 6; Key Benefits of ISO 27001 Certification - IT Governance.
NEW QUESTION # 91
以下是資訊的定義，但以下情況除外：
- A. 準確及時的數據
- B. 成熟且可衡量的數據
- C. 可以促進理解並減少不確定性
- D. 用於特定目的的特定且有組織的數據
Answer: B
Explanation:
The definition of information that is not correct is C: mature and measurable data. This is not a valid definition of information, as information does not have to be mature or measurable to be considered as such.
Information can be any data that has meaning or value for someone or something in a certain context.
Information can be subjective, qualitative, incomplete or uncertain, depending on how it is interpreted or used. Mature and measurable data are characteristics that may apply to some types of information, but not all.
The other definitions of information are correct, as they describe different aspects of information, such as accuracy and timeliness (A), specificity and organization (B), and understanding and uncertainty reduction (D). ISO/IEC 27001:2022 defines information as "any data that has meaning" (see clause
3.25). References: 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?
NEW QUESTION # 92
情境 4：SendPay 是一家金融公司，透過代理商和金融機構網路提供服務。他們的主要服務之一是在全球範圍內轉帳。 SendPay 作為一家新公司，致力於為客戶提供最優質的服務。由於該公司提供國際交易，因此要求客戶提供個人信息，例如身份、交易原因以及完成交易可能需要的其他詳細信息。因此，SendPay 已實施安全措施來保護客戶的訊息，包括偵測、調查和回應可能出現的任何資訊安全威脅。他們對提供安全服務的承諾也體現在 ISMS 實施過程中，該公司投入了大量時間和資源。
去年，SendPay 推出了他們的數位平台，允許透過智慧型手機或筆記型電腦等電子設備進行貨幣交易，而無需支付額外費用。透過這個平台，SendPay 的客戶可以隨時隨地發送和接收資金。該數位平台幫助SendPay簡化了公司營運並進一步拓展了業務。當時SendPay正在外包其軟體業務，因此該專案是由外包公司的軟體開發團隊完成的。
該團隊還負責維護 SendPay 的技術基礎設施。
最近，該公司在實施 ISMS 近一年後申請了 ISO/IEC 27001 認證。他們與符合其標準的認證機構簽訂了合約。不久之後，認證機構任命了一個由四名審核員組成的團隊來審核 SendPay 的 ISMS。
審計過程中，發現以下情況：
1.外包軟體公司在未事先通知的情況下終止了與SendPay的合約。結果，SendPay 無法立即將服務恢復到內部，其營運中斷了五天。審計人員要求 SendPay 的代表提供證據，證明他們在合約終止的情況下有計劃遵循。這些代表沒有提供任何書面證據，但在接受審計時，他們告訴審計人員，SendPay的高層已經確定了另外兩家軟體開發公司，如果類似情況再次發生，可以立即提供服務。
2. 沒有證據顯示對外包給軟體開發公司的活動進行了監控。 SendPay 的代表再次告訴審計人員，他們定期與軟體開發公司溝通，並適當地告知可能發生的任何變更。
3.防火牆測試未發現異常狀況。審核員測試了防火牆配置，以確定這些服務提供的安全等級。他們使用資料包分析器來測試防火牆策略，這使他們能夠即時檢查發送或接收的資料包。
根據該場景，回答以下問題：
您如何評估所獲得的與外包業務監控流程相關的證據？請參閱場景 4。
- A. 不可靠。 SendPay 僅提供了有關其外包業務監控的口頭證據
- B. SendPay 代表的適當且充分的口頭確認表明他們知道必須監控外包操作
- C. 無關緊要，監控外包作業不是標準的要求
Answer: A
Explanation:
The evidence provided by SendPay, which is solely verbal confirmation about the monitoring of outsourced operations, is not considered reliable under ISO/IEC 27001. The standard requires documented evidence to support claims of effective monitoring and control over outsourced processes.
References: ISO/IEC 27001:2013 Standard, Clause A.15 (Supplier relationships)
NEW QUESTION # 93
您是經驗豐富的 ISMS 審核團隊領導，指導審核員進行培訓。您決定透過詢問她一系列問題來測試她對後續審核的了解。這是您的問題和她的答案。
她正確回答了您的哪四個問題？
- A. 問：所有審核都需要後續審核嗎？答：沒有
- B. 問：後續審核的結果是否該向審核客戶報告？答：沒有
- C. 問：後續審核是否應確保不合格問題得到有效解決？答：是的
- D. 問：後續審核的結果是否應該向負責最初識別 NC 審核的審核組組長報告？答：是的
- E. 問：後續審核的目的是驗證糾正、糾正措施和改進機會的完成嗎？答：是的
- F. 問：如果需要，後續審核的結果是否可以成為另一次後續審核？答：是的
- G. 問：後續審核是否應該考慮商定的改進機會以及糾正措施？
年 - H. 問：後續審核是否應該尋求發現新的不合格項？答：是的
Answer: A,C,E,F
Explanation:
Based on the understanding of follow-up audits, especially in the context of Information Security Management Systems (ISMS) and the guidelines provided by ISO 19011:2018, here are the four questions from your list that the auditor in training has answered correctly:
B: Q: Should follow-up audits seek to ensure nonconformities have been effectively addressed? A: YES This is correct. The primary purpose of follow-up audits is to verify that nonconformities identified in previous audits have been effectively addressed and the corrective actions taken are suitable and effective.
D: Q: Is the purpose of a follow-up audit to verify the completion of corrections, corrective actions, and opportunities for improvement? A: YES Yes, the follow-up audit aims to verify the completion and effectiveness of corrections and corrective actions. It may also consider the implementation of opportunities for improvement identified during the initial audit.
E: Q: Are follow-up audits required for all audits? A: NO This is correct. Follow-up audits are not automatically required for all audits. They are typically conducted when nonconformities or other significant issues were identified in an earlier audit and there's a need to verify the implementation and effectiveness of the corrective actions.
H: Q: Could an outcome from a follow-up audit be another follow-up audit if required? A: YES Yes, this is a possible outcome. If the follow-up audit finds that the corrective actions have not been fully effective, or if new issues are identified, it may be necessary to conduct another follow-up audit.
The other responses provided by the auditor in training require some clarification or correction. For instance, while a follow-up audit primarily focuses on previously identified nonconformities and corrective actions, it can still identify new nonconformities if observed (A). Opportunities for improvement are generally considered in the scope of regular audits more so than in follow-up audits, which are more narrowly focused on corrective actions (C). Also, the outcomes of follow-up audits should typically be reported to both the audit team leader and the audit client (F and G), ensuring transparency and accountability.
The four questions that the auditor in training has answered correctly are B, D, E, and H. These questions and answers are consistent with the definition and purpose of a follow-up audit as specified in ISO 19011:2018, Clause 6.712. A follow-up audit is conducted to verify the completion and effectiveness of corrective actions taken as a result of a previous audit (B, D). Follow-up audits are not mandatory for all audits, but they may be required by the audit program, the audit client, or other interested parties (E). The outcome of a follow-up audit may be another follow-up audit if the corrective actions are not satisfactory or not completed within the agreed time frame (H). The other questions and answers are either incorrect or irrelevant. A follow-up audit should not seek to identify new nonconformities, as this is not its objective (A). Follow-up audits should consider agreed opportunities for improvement as well as corrective actions, as they are both outputs of a previous audit . The outcome of a follow-up audit should be reported to the audit client, as well as to other relevant parties, such as the audit team leader who carried out the previous audit (F, G). References: 1: ISO
19011:2018, Guidelines for auditing management systems, Clause 6.7 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 6: Closing an ISO/IEC 27001 audit
NEW QUESTION # 94
在第三方認證審核期間，受審核方會提供您問題清單。下列哪四項構成 ISO 27001:2022 管理系統中的「內部」問題？
- A. 生產力下降與過時的生產設備有關
- B. 因政府政策改變而導致補助金減少
- C. 人口老化導致勞動成本上升
- D. 訓練支出削減導致員工能力水準低下
- E. 因管理不善導致缺勤增加
- F. 由於政府制裁而無法購買原料
- G. 為因應高通膨而提高利率
- H. 由於員工假期減少而士氣低落
Answer: A,D,E,H
Explanation:
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
NEW QUESTION # 95
進行認證審核的審核員在製定審核計畫時不需要下列哪一份工作文件？
- A. 審核計劃
- B. 範例計劃
- C. 外部提供者列表
- D. IT 經理的職業經歷
- E. 清單
- F. 組織的財務報表
Answer: C,D,F
Explanation:
According to ISO 19011:2018, which provides guidelines for auditing management systems, an auditor conducting a certification audit should prepare for an audit by reviewing relevant information about the auditee's context and processes1. This may include reviewing documented information related to the audited management system (such as policies, procedures, manuals), previous audit reports and records (such as findings, nonconformities, corrective actions), relevant legal and regulatory requirements (such as laws, standards), relevant risks and opportunities (such as internal and external issues), relevant performance indicators (such as objectives, targets), etc1. Therefore, an auditor may need work documents such as an audit plan (which defines what will be done during an audit), a sample plan (which defines how many samples will be taken from a population), and a checklist (which helps to ensure that all relevant aspects are covered during an audit)1. However, an auditor does not need work documents such as an organisation's financial statement (which is not directly related to information security management), a career history of the IT manager (which is not relevant to assessing conformity with ISO/IEC 27001:2022), or a list of external providers (which is not necessary for planning an audit)1. References: ISO 19011:2018 - Guidelines for auditing management systems
NEW QUESTION # 96
一家電信公司使用 AES 方法來確保機密資訊受到保護。
這意味著他們使用單一密鑰來加密和
解密資訊。公司使用什麼樣的控制？
- A. 修正
- B. 偵探
- C. 預防性
Answer: C
Explanation:
The AES (Advanced Encryption Standard) method is a symmetric-key algorithm, meaning the same key is used for both encrypting and decrypting data1. This type of control is considered preventive because it is implemented to prevent unauthorized access to confidential information by ensuring that the data is unreadable to anyone who does not have the key. References: = The explanation is based on the general understanding of encryption as a security control within the field of information security, particularly as it pertains to the ISO/IEC 27001 standard for information security management systems (ISMS), which includes encryption as a preventive control measure.
NEW QUESTION # 97
您是審核小組組長，對電信服務供應商進行第三方監督審核。您已將審核組織的資訊安全目標的責任分配給審核團隊的初級成員。在他們開始評估之前，您可以問他們以下問題來檢查他們對 ISO 要求的理解
/IEC 27001:2022。
資訊安全目標必須符合下列哪四項標準？
- A. 必須適當地溝通
- B. 它們必須是可實現的
- C. 它們必須符合 IS 政策
- D. 必須始終對其進行監控
- E. 必須每年進行審核
- F. 它們必須作為記錄資訊提供
- G. 它們必須清晰明確
- H. 必須始終對其進行測量
Answer: A,B,C,F
Explanation:
According to ISO/IEC 27001:2022, clause 6.2, information security objectives are the specific results that an organisation intends to achieve with its information security management system (ISMS). The standard specifies that information security objectives must fulfil the following criteria:
* They must be communicated appropriately (A): The organisation must ensure that the relevant internal and external parties are informed about the information security objectives and their roles and responsibilities in achieving them. This can help to create awareness, commitment, and accountability for information security. This criterion is related to clause 6.2.2 of ISO/IEC 27001:2022.
* They must be available as documented information (B): The organisation must maintain and retain documented information on the information security objectives, including their scope, level, indicators, and time frame. This can help to provide evidence, traceability, and consistency for information security. This criterion is related to clause 6.2.1 of ISO/IEC 27001:2022.
* They must be consistent with the IS Policy (G): The organisation must ensure that the information security objectives are aligned with the information security policy, which is the top-level statement of the organisation's intentions and direction for information security. This can help to support the strategic objectives and the context of the organisation. This criterion is related to clause 5.2 of ISO/IEC
27001:2022.
* They must be achievable (H): The organisation must ensure that the information security objectives are realistic and attainable, considering the available resources, capabilities, and constraints. This can help to avoid setting unrealistic or unfeasible expectations and to monitor and measure the progress and performance of information security. This criterion is related to clause 6.2.1 of ISO/IEC 27001:2022.
References:
* ISO/IEC 27001:2022, Information technology - Security techniques - Information security management systems - Requirements1
* PECB Candidate Handbook ISO/IEC 27001 Lead Auditor2
* ISO 27001:2022 Lead Auditor - PECB3
* ISO 27001:2022 certified ISMS lead auditor - Jisc4
* ISO/IEC 27001:2022 Lead Auditor Transition Training Course5
* ISO 27001 - Information Security Lead Auditor Course - PwC Training Academy6
NEW QUESTION # 98
您正在作為審核組組長進行您的第一次第三方 ISMS 監督審核。您目前與審核團隊的另一位成員一起在被審核方的資料中心。
您的同事似乎不確定資訊安全事件和資訊安全事件之間的差異。您嘗試透過提供範例來解釋差異。
下列哪三種場景可以定義為資訊安全事件？
- A. 組織收到網路釣魚電子郵件
- B. 不滿意的員工未經許可更改薪資記錄
- C. 未收到付款的承包商刪除了高階管理人員 ICT 帳戶
- D. 組織的惡意軟體防護軟體可防止病毒
- E. 硬碟機在建議更換日期之後使用
- F. 組織的行銷資料被駭客複製並出售給競爭對手
- G. 員工在輪班結束時未能清理辦公桌
- H. 組織未通過第三方滲透測試
Answer: B,C,F
Explanation:
According to ISO/IEC 27000:2018, which provides an overview and vocabulary of information security management systems, an information security event is an identified occurrence of a system, service or network state indicating a possible breach of information security policy or failure of safeguards, or a previously unknown situation that may be security relevant1. An information security incident is a single or a series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security1. Therefore, based on this definition, three examples of information security incidents are:
* A contractor who has not been paid deletes top management ICT accounts: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of access, data, or functionality for the top management.
* An unhappy employee changes payroll records without permission: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in financial fraud, legal liability, or reputational damage for the organization.
* The organisation's marketing data is copied by hackers and sold to a competitor: This is an example of an unwanted or unexpected information security event that has a significant probability of compromising business operations and threatening information security, as it may result in loss of confidentiality, competitive advantage, or customer trust for the organization.
The other options are not examples of information security incidents, but rather information security events that may or may not lead to incidents depending on their impact and severity. For example:
* The organisation's malware protection software prevents a virus: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, as it is prevented by the malware protection software.
* A hard drive is used after its recommended replacement date: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it fails or causes other problems.
* The organisation receives a phishing email: This is an example of an identified occurrence of a network state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless it is opened or responded to by the recipient.
* An employee fails to clear their desk at the end of their shift: This is an example of an identified occurrence of a service state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the desk contains sensitive or confidential information that is accessed by unauthorized persons.
* The organisation fails a third-party penetration test: This is an example of an identified occurrence of a system state indicating a possible breach of information security policy or failure of safeguards, but it does not have a significant probability of compromising business operations and threatening information security, unless the penetration test reveals serious vulnerabilities that are exploited by malicious actors.
References: ISO/IEC 27000:2018 - Information technology - Security techniques - Information security management systems - Overview and vocabulary
NEW QUESTION # 99
下列哪兩個短語是與第一方審核相關的「目標」？
- A. 為認證機構準備審核報告
- B. 更新管理策略
- C. 應用國際標準
- D. 確認管理系統的範圍準確
- E. 按時完成審核
- F. 應用監理要求
Answer: B,D
Explanation:
A first-party audit is an internal audit conducted by the organization itself or by an external party on its behalf. The objectives of a first-party audit are to: 12
* Confirm the scope of the management system is accurate, i.e., it covers all the processes, activities, locations, and functions that are relevant to the information security objectives and requirements of the organization.
* Update the management policy, i.e., review and revise the policy statement, roles and responsibilities, and objectives and targets of the information security management system (ISMS) based on the audit findings and feedback.
The other phrases are not objectives of a first-party audit, but rather:
* Apply international standards: This is a requirement for the ISMS, not an objective of the audit. The ISMS must conform to the ISO/IEC 27001 standard and any other applicable standards or regulations12
* Prepare the audit report for the certification body: This is an activity of a third-party audit, not a first- party audit. A third-party audit is an external audit conducted by an independent certification body to verify the conformity and effectiveness of the ISMS and to issue a certificate of compliance12
* Complete the audit on time: This is a performance indicator, not an objective of the audit. The audit should be completed within the planned time frame and budget, but this is not the primary purpose of the audit12
* Apply regulatory requirements: This is also a requirement for the ISMS, not an objective of the audit. The ISMS must comply with the legal and contractual obligations of the organization regarding information security12 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
NEW QUESTION # 100
誰可以存取高度機密的文件？
- A. 有業務須知的承包商
- B. 有業務需要了解的員工
- C. 指定具有核准存取權限並已簽署 NDA 的非員工
- D. 簽署 NDA 的員工有業務須知
Answer: B
Explanation:
According to ISO/IEC 27001:2022, clause 8.2.1, the organization shall ensure that access to information and information processing facilities is limited to authorized users based on the access control policy and in accordance with the business requirements of access control2. Therefore, only employees with a business need-to-know are allowed to access highly confidential files, and not contractors, non-employees or employees with signed NDA. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA
NEW QUESTION # 101
選擇最能完成下面句子的字詞來描述審計資源：
Answer:
Explanation:
Explanation:
According to ISO 19011:2018, clause 5.3, the person responsible for managing the audit programme should determine the resources necessary for the audit programme, such as the audit team members, the budget, the time, the tools, etc. The audit resources should be sufficient and appropriate to ensure the quality and effectiveness of the audit programme and the audit results. The audit resources include the following elements12:
* Essential resources: These are the resources that are required to conduct the audit programme and the individual audits, such as the audit documents, the audit methods, the audit tools, the audit schedule, the audit budget, etc. The essential resources should be identified and allocated based on the audit objectives, scope, and criteria, and the availability and cooperation of the auditee. The essential resources should also be reviewed and updated as necessary to reflect any changes or deviations in the audit programme or the individual audits.
* Competent personnel: These are the audit team members who have the appropriate knowledge, skills, and experience to conduct the audit effectively and efficiently, and to provide credible and reliable audit results and recommendations. The competent personnel should include the audit team leader, the auditors, and any technical experts or observers who support the audit team. The competent personnel should be selected and appointed based on the audit objectives, scope, and criteria, and the specific competence requirements for the audit programme and the individual audits. The competent personnel should also be independent and impartial, and avoid any conflicts of interest or self-interest that may affect the audit results or the audit decisions.
References:
* ISO 19011:2018 - Guidelines for auditing management systems, clause 5.3
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 19
NEW QUESTION # 102
您必須進行第三方虛擬審核。在開始進行審核之前，您需要告知受審核方以下哪兩個問題？
- A. 您將要求查看螢幕上的人的身分證。
- B. 除非允許，否則您不得記錄審核的任何部分。
- C. 您希望受審核方已評估與線上活動相關的所有風險。
- D. 您將要求受訪的人事先說明他們的姓名和職位。
- E. 您將要求取得正在進行審核的房間的 360 度視圖。
- F. 您將為採訪的每個人拍照。
Answer: D,E
Explanation:
A third-party virtual audit is an external audit conducted by an independent certification body using remote technology such as video conferencing, screen sharing, and electronic document exchange. The purpose of a third-party virtual audit is to verify the conformity and effectiveness of the information security management system (ISMS) and to issue a certificate of compliance12 Before you start conducting the audit, you would need to inform the auditee about the following issues: 12
* You will ask those being interviewed to state their name and position beforehand, i.e., to confirm their identity and role in the ISMS. This is to ensure that you are interviewing the relevant personnel and that they are authorized to provide information and evidence for the audit.
* You will ask for a 360-degree view of the room where the audit is being carried out, i.e., to verify the physical and environmental security of the audit location. This is to ensure that there are no unauthorized persons or devices in the vicinity that could compromise the confidentiality, integrity, or availability of the information being audited.
The other issues are not relevant or appropriate for a third-party virtual audit, because:
* You will ask to see the ID card of the person that is on the screen, i.e., to verify their identity. This is not necessary if you have already asked them to state their name and position beforehand, and if you have access to the auditee's organizational chart or staff directory. Asking to see the ID card could also be seen as intrusive or disrespectful by the auditee.
* You will take photos of every person you interview, i.e., to document the audit process. This is not advisable as it could violate the privacy or consent of the auditee and the interviewees. Taking photos could also be seen as unprofessional or suspicious by the auditee. You should rely on the audit records and evidence provided by the auditee and the audit tool instead.
* You will not record any part of the audit, unless permitted, i.e., to respect the auditee's preferences and rights. This is not a valid issue to inform the auditee about, as you should always record the audit for quality assurance and verification purposes. Recording the audit is also a requirement of the ISO/IEC
27001 standard and the certification body. You should inform the auditee that you will record the audit and obtain their consent before the audit begins.
* You expect the auditee to have assessed all risks associated with online activities, i.e., to ensure the security of the audit process. This is not an issue to inform the auditee about, as it is part of the auditee' s responsibility and obligation to have a risk assessment and treatment process for their ISMS. You should assess the auditee's risk management practices and controls during the audit, not before it.
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
NEW QUESTION # 103
審核小組負責人為 ISO/IEC 27001:2022 的初始認證第 2 階段審核準備審核計畫。
下列哪一項敘述是正確的？
- A. 審核小組組長應任命具有 IT 經驗的審核小組成員
- B. 審核小組負責人應計劃在範圍內採訪每位員工
- C. 組織應審查審核計劃以獲得一致意見
- D. 審核小組負責人應確保審核得到技術專家的支持
Answer: C
Explanation:
* D. This statement is true because the audit team leader should communicate the audit plan to the audit client and the auditee, and obtain their approval before conducting the audit12. The audit plan should include the audit objectives, scope, criteria, methods, schedule, resources, roles and responsibilities, and other relevant information12. The audit plan should also be reviewed and updated as necessary during the audit process, and any changes should be agreed upon by the audit team leader, the audit client, and the auditee12. The purpose of reviewing and agreeing on the audit plan is to ensure that the audit is conducted in an efficient and effective manner, and that the audit expectations and requirements are clear and consistent among all parties involved.
References:
1: PECB Candidate Handbook - ISO 27001 Lead Auditor, page 23 2: ISO 19011:2018 - Guidelines for auditing management systems, clause 6.4.2
NEW QUESTION # 104
下列哪一個選項是與人員管理相關的控制措施，旨在避免事件的發生？
- A. 組織定期為員工提供安全意識和培訓課程
- B. 組織定期進行使用者存取審查，以驗證只有授權員工才能存取機密資訊
- C. 在新部門整合到組織後，組織總是會檢視安全策略
Answer: A
Explanation:
Regular security awareness and training sessions for employees are a control measure aimed at preventing security incidents by ensuring that personnel are aware of information security threats and concerns, and understand their roles and responsibilities in safeguarding organizational assets. This proactive approach is designed to educate employees on the importance of security practices and to avoid the occurrence of security incidents. References: = This answer is based on the principles of personnel security management as outlined in ISO/IEC 27001, particularly in Annex A.7 which deals with human resource security before, during, and after employment, and Annex A.9 which focuses on access control and ensuring that employees have access only to the information that is necessary for their job role
NEW QUESTION # 105
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