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PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions (Q309-Q314):
NEW QUESTION # 309
哪一項不是 HR 在招募前的要求?
- A. 必須成功通過背景調查
- B. 接受背景驗證
- C. 必須接受資訊安全意識訓練。
- D. 申請人必須完成就業前文件要求
Answer: C
Explanation:
According to ISO/IEC 27001:2022, clause 7.2.2, the organization shall ensure that all persons who have access to information are aware of the information security policy and their contribution to the effectiveness of the ISMS, including the benefits of improved information security performance2. Therefore, awareness training on information security is a requirement for all persons, not just new hires. References: ISO/IEC
27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA
NEW QUESTION # 310
審核員使用抽樣來確保記錄資訊安全事件的事件日誌得到維護和定期審查。抽樣基於審計目標,而樣本選擇過程基於機率論。使用什麼類型的抽樣?
- A. 基於判斷的取樣
- B. 統計抽樣
- C. 系統抽樣
Answer: B
Explanation:
The use of probability theory in the sample selection process indicates that "statistical sampling" was used.
Statistical sampling allows auditors to make inferences about the population based on the properties of the sample, relying on the principles of probability to select representative elements.
References: ISO 19011:2018, Guidelines for auditing management systems
NEW QUESTION # 311
情境 8:EsBank 自 9 月起為愛沙尼亞銀行業提供銀行和金融解決方案
2010年,該公司在全國擁有30家分行和100多台ATM機。
EsBank 在高度監管的行業中運營,必須遵守許多有關資料安全和隱私的法律和法規。他們需要透過實施技術和非技術控制來管理整個營運的資訊安全。 EsBank 決定實施基於 ISO/IEC 的 ISMS
27001,因為它提供了更好的安全性、更多的風險控制以及符合法律法規的關鍵要求。
在成功實施 ISMS 九個月後,EsBank 決定由獨立認證機構根據 ISO/IEC 27001 對其 ISMS 進行認證。
第一階段和第二階段審核是共同進行的,發現了一些不符合項。第一個不合格之處與 EsBank 的資訊標籤有關。該公司有資訊分類方案,但沒有資訊標籤程序。因此,需要相同保護等級的文件將被貼上不同的標籤(有時為機密,有時為敏感)。
考慮到所有文件也以電子方式存儲,不合格情況也影響了媒體處理。審計小組透過抽樣得出結論,200 個可移動媒體中有 50 個儲存了被錯誤分類為機密的敏感資訊。根據資訊分類方案,允許將機密資訊儲存在可移動媒體中,而嚴格禁止儲存敏感資訊。這標誌著另一個不合格之處。
他們起草了不合格報告,並與 EsBank 代表討論了審計結論,代表同意在兩個月內針對發現的不合格問題提交行動計劃。
EsBank 接受了審計組組長提出的解決方案。他們根據實體和電子格式的分類方案起草了資訊標籤程序,解決了不合格問題。可移動媒體程式也基於此程式進行了更新。
審計完成兩週後,EsBank 提交了總體行動計畫。在那裡,他們解決了檢測到的不合格問題以及採取的糾正措施,但沒有包括有關受影響的系統、控製或操作的任何詳細資訊。審核小組評估了該行動計劃並得出結論,該計劃將解決不合格問題。然而,EsBank 收到了不利的認證建議。
根據上述場景,回答以下問題:
根據情境 8,審核小組評估了行動計畫並得出結論,該計畫將解決檢測到的不符合項。這是可以接受的嗎?
- A. 是,前提是 EsBank 之前已經驗證了行動計劃的有效性,並告知審核團隊該行動計劃允許糾正不合格項
- B. 否,被審核方應驗證行動計畫是否允許糾正不合格項並消除根本原因
- C. 是的。審核小組必須評估行動計畫並驗證其是否適合糾正檢測到的不合格項
Answer: C
Explanation:
Yes, the audit team must evaluate the action plan and verify if it is appropriate for correcting the detected nonconformities. This is part of the auditor's responsibilities to ensure that the proposed actions adequately address the issues identified during the audit.
NEW QUESTION # 312
您是經驗豐富的審核團隊領導,指導審核員進行培訓。
您的團隊目前正在對代表外部客戶儲存資料的組織進行第三方監督審核。接受培訓的審核員的任務是審查適用性聲明 (SoA) 中列出的並在現場實施的組織控制措施。
從以下內容中選擇您希望接受培訓的審核員審查的四項控制措施。
- A. 供應商協定中如何解決資訊安全問題
- B. 組織的業務連續性安排
- C. 現場閉路電視和門禁系統的運行
- D. 進出裝載區的通道
- E. 資訊資產清單的開發與維護
- F. 電源線和資料線如何進入建築物
- G. 在組織內部以及向其他組織傳輸訊息的規則
- H. 保密與保密協議
Answer: A,E,G,H
Explanation:
According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, the auditor in training should review the organisational controls that are related to the information security policy, the roles and responsibilities, the information classification, the information exchange, the supplier relationships, and the information asset management1. These controls are aligned with the ISO/IEC 27001 requirements for clauses 5, 7, 8.2, 8.3, and 8.42. The other controls (A, D, G, and H) are more relevant to the physical and environmental security, the communications security, or the business continuity management, which are not part of the organisational controls3. Reference: 1: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 42, section 5.2.32: ISO/IEC 27001:2022, clauses 5, 7, 8.2, 8.3, and 8.43: ISO/IEC 27001:2022, clauses 8.1, 8.5, and 8.6.
NEW QUESTION # 313
情境 6:Sinvestment 是一家提供家庭保險、商業保險和人壽保險的保險公司。該公司成立於北卡羅來納州,但最近在其他地區進行了擴張,包括歐洲和非洲。
Sinvestment 致力於遵守適用於其行業的法律法規,並防止任何資訊安全事件。他們實施了基於 ISO/IEC 27001 的 ISMS 並申請了 ISO/IEC 27001 認證。
認證機構指派兩名審核員進行審核。與Sinvestment簽訂保密協議後。他們開始了審計活動。首先,他們審查了標準要求的文件,包括 ISMS 範圍聲明、資訊安全政策和內部稽核報告。審查過程並不容易,因為儘管 Sinvestment 表示他們已製定文件程序,但並非所有文件都具有相同的格式。
隨後,審計小組對Sinvestment的高階主管進行了多次訪談,以了解他們在ISMS實施中的作用。第一階段審計的所有活動都是遠端進行的,除了根據 Sinvestment 的要求在現場進行的文件資訊審查之外。
在此階段,審計人員發現沒有與資訊安全培訓和意識計劃相關的文件。被問及時,Sinvestment代表表示,公司已為所有員工提供資訊安全培訓課程。第一階段審計讓審計團隊對 Sinvestment 的營運和 ISMS 有了整體了解。
第二階段審核在第一階段審核三週後進行。審計小組觀察到,行銷部門(未包含在審計範圍內)沒有適當的程序來控制員工的存取權限。由於控制員工的存取權限是ISO/IEC 27001的要求之一,並且已包含在公司的資訊安全政策中,因此該問題包含在審計報告中。此外,在第二階段審計中,審計小組觀察到Sinvestment沒有記錄使用者活動日誌。
該公司的程序規定“記錄用戶活動的日誌應保留並定期審查”,但該公司沒有提供任何執行該程序的證據。
在所有審核活動中,審核員透過觀察、訪談、文件化資訊審查、分析和技術驗證來收集資訊和證據。對第一階段和第二階段的所有審核結果進行了分析,審核小組決定發布積極的認證建議。
根據場景 6,行銷部門員工沒有遵守存取控制策略。
在這種情況下哪個選項是正確的?
- A. 員工的存取權限控制包含在Sinvestment的資訊安全政策中,因此該問題必須傳達給Sinvestment的代表並包含在審計報告中
- B. 行銷部不屬於審核範圍,因此該問題僅應傳達給Sinvestment代表
- C. Sinvestment 未控制員工的存取權限,這存在潛在的資訊安全風險,應作為重大不合格項進行報告
Answer: A
Explanation:
Even though the marketing department was not included in the audit scope, the issue of employees' access rights control must be communicated to Sinvestment's representatives and included in the audit report because it is part of Sinvestment's information security policy. It reflects on the overall adherence to the ISMS requirements.
NEW QUESTION # 314
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