Get ISO-IEC-27001-Lead-Auditor-CN Actual Free Exam Q&As to Prepare for Your PECB Certification
PECB Actual Free Exam Questions And Answers
NEW QUESTION # 29
場景 8：苔絲
一個。 Malik 和 Michael 是一個由安全、合規以及業務規劃和策略領域的獨立且合格的專家組成的審計團隊。他們被指派到一家大型網頁設計公司Clastus進行認證審核。他們在進行審計時表現出了出色的職業道德，包括公正和客觀。這一次，Clastus 確信，如果獲得 ISO/IEC 27001 認證，他們將領先一步。
審計團隊負責人 Tessa 擁有審計專業知識，並且在 IT 相關問題、合規性和治理方面擁有非常成功的背景。馬利克擁有組織規劃和風險管理背景。他的專業知識依賴於對組織的安全控制及其風險承受能力的綜合和分析水平，以準確描述組織內部的風險水平 另一方面，Michael 是通過遵循嚴格的標準化程序進行控制評估的實際安全性的專家。
在執行所需的審計活動後，泰莎發起了一次審計團隊會議，他們分析了邁克爾的一項發現，以客觀、準確地就該問題做出決定。 Michael 遇到的問題是組織日常運作中的一個小問題，他認為這是由組織的一名 IT 技術人員造成的，因此，Tessa 會見了高層管理人員，並在他們詢問了責任人姓名後，告訴他們誰應該對這一問題負責，為了方便澄清和理解，Tessa 在審核的最後一天召開了結束會議。在這次會議上，她向 Clastus 管理層報告了發現的不符合情況。然而，Tessa 收到建議，避免在 Clastus 認證審核的審核報告中提供不必要的證據，確保報告保持簡潔並專注於關鍵發現。
根據審查的證據，審核小組起草了審核結論，並決定在授予認證之前必須對該組織的兩個領域進行審核。這些決定後來被提交給被審計方，但被審計方不接受調查結果並提議提供更多資訊。儘管受審計方提出了意見，但審計員已經決定接受認證建議，因此沒有接受補充資訊。被審計單位的高階主管堅持審計結論並不代表事實，但審計小組仍堅持他們的決定。
根據上述情景，回答以下問題：
誰主要負責審計報告的編制和內容？
- A. 認證機構
- B. 審計團隊成員
- C. 審計團隊負責人
Answer: C
Explanation:
Comprehensive and Detailed In-Depth
A . Correct answer:
ISO 19011:2018 states that the audit team leader is responsible for compiling and finalizing the audit report.
B . Incorrect:
Team members contribute findings, but the leader ensures finalization.
C . Incorrect:
The certification body reviews but does not prepare the report.
Relevant Standard Reference:
NEW QUESTION # 30
情境八：Tessa、Malik 和 Michael 組成了一支獨立的審計團隊，成員都是安全、合規以及商業規劃和策略領域的資深專家。他們受命對大型網頁設計公司 Clastus 進行認證審計。在此之前，他們在審計工作中展現了卓越的職業道德，包括公正性和客觀性。這次，Clastus 堅信，如果他們能夠通過 ISO/IEC 27001 認證，將會在競爭中佔優勢。
審計團隊負責人Tessa擁有豐富的審計經驗，並在IT相關議題、合規和治理方面有著非常成功的從業經驗。 Malik則擁有組織規劃和風險管理的背景。他的專長在於對組織的安全控制措施及其風險承受能力進行綜合分析，從而準確地評估組織內部的風險程度。另一方面，Michael則是一位經驗豐富的專家，擅長透過遵循嚴格的標準化程序，對控制措施進行實際的安全評估。
在完成必要的審計工作後，Tessa召集了審計團隊會議。他們分析了Michael的一項發現，以客觀準確地做出決定。 Michael發現的問題是公司日常營運中一個輕微的不合規之處，他認為這是公司一位IT技術人員造成的。因此，在高階主管詢問相關負責人姓名後，Tessa與他們會面，並告知了他們誰是該不合規之處的責任人。為了確保清晰明了，Tessa在審計的最後一天召開了總結會議。
在這次會議上，她向Clastus管理層報告了已發現的不符合項。然而，Tessa得到的建議是，在Clastus認證審核的審查報告中，應避免提供不必要的證據，以確保報告簡潔明了，重點突出關鍵發現。
根據審查的證據，審計團隊起草了審計結論，並決定在授予認證之前，必須對組織的兩個領域進行審計。這些決定隨後提交給了受審計方，但受審計方不接受審計結果，並提出提供補充資訊。儘管受審計方提出了意見，但審計人員由於已決定授予認證，因此拒絕接受補充資訊。受審計方的高階主管堅持審計結論與實際情況不符，但審計團隊堅持己見。
根據以上情景，回答以下問題：
問題：
X公司在分析審計結論後，接受了與已發現的不符合項相關的風險，並決定不採取糾正措施。然而，他們的決定並沒有形成文件記錄。這種做法是否可以接受？
- A. 不，受審核方選擇接受風險而非採取糾正措施的決定應有理有據並形成文件。
- B. 是的，受審核方的管理階層可以決定接受風險而不是採取糾正措施，並且無需記錄此類決定。
- C. 不，受審核方必須針對審核過程中所記錄的所有問題採取糾正措施。
Answer: A
Explanation:
Comprehensive and Detailed In-Depth Explanation:
* B. Correct Answer:
* ISO/IEC 27001:2022 Clause 6.1.3 (Information Security Risk Treatment) requires that any decision to accept risk be documented and justified.
* Failure to document this decision creates compliance and audit tracking gaps.
* A. Incorrect:
* Risk acceptance must always be documented for accountability.
* C. Incorrect:
* Organizations are not required to mitigate every nonconformity but must justify their risk acceptance.
Relevant Standard Reference:
* ISO/IEC 27001:2022 Clause 6.1.3 (Risk Treatment Documentation Requirements)
NEW QUESTION # 31
下列哪兩個選項不參與第一方審核？
- A. 認證機構審核員
- B. 來自認證機構的審核小組
- C. 在組織中接受過訓練的審核員
- D. 接受過 CQI 和 IRCA 計畫訓練的審核員
- E. 經過CQI及IRCA認證的審核員
- F. 諮詢機構的審核員
Answer: A,B
Explanation:
A first-party audit is an internal audit in which the organization's own staff or contractors check the conformity and effectiveness of the ISMS. A certification body auditor and an audit team from an accreditation body are external auditors who conduct audits for the purpose of certification or accreditation.
They do not participate in a first-party audit, but rather in a third-party audit. References: First & Second Party Audits - operational services, The ISO 27001 Audit Process | Blog | OneTrust, The ISO 27001 Audit Process | A Beginner's Guide - IAS USA
NEW QUESTION # 32
選出最能完成句子的單字：
Answer:
Explanation:
NEW QUESTION # 33
您是 ISMS 審核小組組長，準備在第三方監督審核後主持閉幕會議。您正在起草閉幕會議議程，列出您希望與受審核方討論的主題。
下列哪一項適合納入？
- A. 關於審核結果基於證據抽樣的免責聲明
- B. 認證機構申訴流程的詳細說明
- C. 審核計畫及其目的的解釋
- D. 與不合格項相關的審核方名稱
Answer: A
Explanation:
This option is appropriate for inclusion in the closing meeting agenda, as it is a requirement of the ISO 19011 standard, which provides guidelines for auditing management systems, including ISMS12. The standard states that the audit team leader should advise the auditee of any situations encountered during the audit that may decrease the confidence that can be placed in the audit conclusions, such as limitations in the audit scope, access, or sampling3. The standard also states that the audit report should include a statement that the audit is based on a sample of the information available at the time of the audit, and that the audit does not provide absolute assurance of the conformity or effectiveness of the audited management system4. Therefore, the audit team leader should include a disclaimer in the closing meeting agenda to inform the auditee of the nature and limitations of the audit, and to avoid any misunderstandings or false expectations. The other options are not appropriate for inclusion in the closing meeting agenda, as they are either irrelevant, incorrect, or incomplete. For example:
*A detailed explanation of the certification body's complaints process is not relevant for the closing meeting agenda, as it is not related to the audit findings or conclusions. The certification body's complaints process should be communicated to the auditee before the audit, as part of the audit agreement or contract5.
*An explanation of the audit plan and its purpose is not correct for the closing meeting agenda, as it should have been done at the opening meeting or before the audit. The audit plan is a document that describes the scope, objectives, criteria, and methodology of the audit, as well as the audit schedule, the audit team, the audit locations, and the audit deliverables . The audit plan should be communicated and agreed with the auditee in advance, and any changes or deviations should be notified during the audit.
*Names of auditees associated with nonconformities are not complete for the closing meeting agenda, as they do not provide the details or the evidence of the nonconformities. The audit team leader should present the audit findings, which include the description, the audit criteria, and the audit evidence of each nonconformity, as well as the audit conclusions and the audit recommendation . The audit team leader should also avoid naming or blaming individuals, and focus on the processes and the system.
References: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 222: ISO 19011:2018 Guidelines for auditing management systems, clause 13: ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.94: ISO 19011:2018 Guidelines for auditing management systems, clause
7.5.25: ISO/IEC 17021-1:2015 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology - Security techniques - Guidelines for information security management systems auditing, clause 6.2.1. : ISO 19011:
2018 Guidelines for auditing management systems, clause 6.4.2. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.10. : ISO/IEC 27007:2011 Information technology - Security techniques - Guidelines for information security management systems auditing, clause 6.3.3.
NEW QUESTION # 34
選出最能完成句子的單字：
Answer:
Explanation:
Explanation:
"In a third-party audit an observation can indicate conformity at organisation is not required to take action." According to the PECB Candidate Handbook1, an observation is "a statement of fact made during an audit and substantiated by objective evidence". An observation can indicate conformity or nonconformity, but it does not require any corrective action from the audited organisation. A recommendation, on the other hand, is
"a suggestion for improvement based on an observation". A recommendation may or may not be accepted by the audited organisation.
According to the Fundamentals - Third parties2, a third-party audit is "an audit conducted by an external organisation that has the legal right to audit an organisation's processes and procedures". A third-party audit can result in a finding, which is "a conclusion reached by the auditor based on the audit evidence collected".
A finding can be positive or negative, depending on whether the audited organisation meets the audit criteria or not. A nonconformity is "a finding that indicates the non-fulfilment of a requirement". A nonconformity requires corrective action from the audited organisation to prevent recurrence.
NEW QUESTION # 35
問題：
根據 ISO/IEC 27001 第 5.1 條(領導與承諾)，下列何者不屬於最高管理階層的職責？
- A. 確保資訊安全管理系統 (ISMS) 的資源可用性並促進持續改進
- B. 定期進行內部審計，以評估資訊安全管理系統的有效性。
- C. 指導和支援人員為提高資訊安全管理系統的有效性做出貢獻。
Answer: B
Explanation:
Comprehensive and Detailed In-Depth Explanation:
ISO/IEC 27001 Clause 5.1 (Leadership and Commitment) defines top management's role in ensuring the effectiveness of the Information Security Management System (ISMS). It requires top management to:
* Ensure the availability of resources for the ISMS (Correct Responsibility).
* Promote continual improvement of the ISMS (Correct Responsibility).
* Direct and support employees to contribute to ISMS effectiveness (Correct Responsibility).
B). Conducting regular internal audits - Incorrect Responsibility:
* Internal audits are not a direct responsibility of top management. Instead, Clause 9.2 (Internal Audit) requires audits to be conducted independently of management.
* Top management is responsible for ensuring audits are conducted but does not need to conduct them personally.
Thus, top management is responsible for oversight and support but not for conducting internal audits themselves.
Relevant Standard Reference:
* ISO/IEC 27001:2022 Clause 5.1 (Leadership and Commitment)
* ISO/IEC 27001:2022 Clause 9.2 (Internal Audit)
NEW QUESTION # 36
場景9：UpNet是一家網路公司，已通過ISO/IEC 27001認證。
自從獲得 ISO/IEC 27001 認證以來，該公司的認可度大幅提高。此認證證實了 UpNefs 營運的成熟性及其符合廣泛認可和接受的標準。
但認證之後一切還沒結束。 UpNet 透過進行內部稽核不斷審查和增強其安全控制以及 ISMS 的整體有效性和效率。高階主管不願意聘請全職內部稽核團隊，因此決定將內部稽核職能外包。這種形式的內部稽核確保了獨立性、客觀性，並且在 ISMS 的持續改進方面發揮諮詢作用。
在初次認證審核後不久，該公司創建了一個專門從事數據和儲存產品的新部門。他們提供針對資料中心和基於軟體的網路設備（例如網路虛擬化和網路安全設備）進行最佳化的路由器和交換器。這導致 ISMS 認證範圍內已涵蓋的其他部門的營運發生變化。
所以。 UpNet 啟動了風險評估流程和內部稽核。根據內部審計結果，公司確認了現有和新流程和控制的有效性和效率。
由於新部門符合 ISO/IEC 27001 要求，最高管理層決定將其納入認證範圍。 UpNet宣布取得ISO/IEC 27001認證，認證範圍涵蓋全公司。
在初次認證審核一年後，認證機構對 UpNefs ISMS 進行了另一次審核。
此次審核旨在確定 UpNefs ISMS 是否符合指定的 ISO/IEC 27001 要求，並確保 ISMS 持續改善。審核小組確認，經過認證的 ISMS 繼續符合標準的要求。儘管如此，新部門對管理體系的治理產生了重大影響。此外，認證機構並未獲悉任何變更。因此，UpNefs認證被暫停。
根據上述場景，回答以下問題：
場景 9 最後一段說明了什麼類型的審計？
- A. 監督審核
- B. 重新認證審核
- C. 內部稽核
Answer: A
Explanation:
The audit described in the last paragraph of scenario 9 is a surveillance audit. This type of audit is conducted periodically to ensure that the certified ISMS continues to fulfill the requirements of the standard after the initial certification.
NEW QUESTION # 37
以下哪兩個短語適用於業務流程的計劃-執行-檢查-改進循環中的“計劃”一詞？
* 保留文檔
- A. 設定目標
- B. 提供資訊通信技術資產
- C. 保留文檔
- D. 組織變革
- E. 培訓人員
Answer: B,E
Explanation:
The Plan-Do-Check-Act (PDCA) cycle is a four-step method for implementing and improving processes, products, or services. The "plan" phase involves establishing the objectives and processes necessary to deliver the desired results. This may include setting SMART goals, identifying resources, defining roles and responsibilities, conducting risk assessments, and developing plans for training, communication, and monitoring.
References:
ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB ISO 19011:2018 Guidelines for auditing management systems [Section 5.3.1]
NEW QUESTION # 38
您是一位經驗豐富的 ISMS 審核團隊領導，協助審核員接受培訓，撰寫第一份審核報告。
您想要檢查培訓中的審核員對審核報告內容相關術語的理解，並選擇透過展示以下範例來實現此目的。
對於每個範例，您在培訓中詢問審核員描述活動的正確術語是什麼 將活動與描述進行配對。
Answer:
Explanation:
Explanation:
1. An auditor using a copy of ISO/IEC 27001:2022 to check that its requirements are met:
Termed: Reviewing audit criteria.
Justification: The auditor is comparing the auditee's information security management system (ISMS) against the established criteria outlined in the ISO/IEC 27001:2022 standard. This activity falls under the use of audit criteria to determine conformity or nonconformity.
2. An auditor's note that the auditee is not adhering to its clear desk policy:
Termed: Identifying an audit finding.
Justification: The auditor has observed a deviation from the auditee's established policy on clear desks. This observation is documented as a potential nonconformity, which requires further investigation and evaluation.
3. An auditor making a decision regarding the auditee's conformity or otherwise to criteria:
Termed: Determining an audit conclusion.
Justification: Based on the collected audit evidence and evaluation against the established criteria, the auditor forms an opinion about the overall compliance of the auditee's ISMS. This opinion is the audit conclusion and is a key element of the audit report.
4. An auditor examining verifiable records relevant to the audit process:
Termed: Collecting audit evidence.
Justification: The auditor is gathering objective and verifiable information to support their findings and conclusions. This information comes from various sources, including documents, records, interviews, and observations.
NEW QUESTION # 39
以下是「誠信」的目的，這是資訊安全的基本組成部分之一
- A. 資訊不會提供或揭露給未經授權的個人的屬性
- B. 資訊不會提供或揭露給未經授權的個人的屬性
- C. 根據授權實體的要求可存取和使用的屬性。
- D. 保障資產準確性和完整性的屬性。
Answer: D
Explanation:
Integrity is one of the basic components of information security, along with confidentiality and availability.
Integrity means that information is safeguarded from unauthorized or accidental changes that could affect its accuracy and completeness. Integrity ensures that information is reliable and trustworthy3. References: ISO
/IEC 27001:2022 Lead Auditor Training Course - BSI
NEW QUESTION # 40
一個體面的訪客在沒有訪客 ID 的情況下四處閒逛。作為員工，您應該執行以下操作，但以下情況除外：
- A. 打招呼並提供咖啡
- B. 問候並詢問他有什麼事
- C. 護送他到達目的地
- D. 致電接待員並告知訪客狀況
Answer: A
Explanation:
As an employee, you should do the following when you see a visitor roaming around without visitor's ID, except saying "hi" and offering coffee. Saying "hi" and offering coffee is not an appropriate action, as it may imply that you are welcoming or endorsing the visitor without verifying their identity or purpose. This may also give the visitor an opportunity to gain your trust or exploit your kindness. Calling the receptionist and informing about the visitor is an appropriate action, as it alerts the responsible staff to handle the situation and ensure that the visitor is authorized and registered. Greeting and asking him what is his business is an appropriate action, as it shows your concern and curiosity about the visitor's presence and intention. Escorting him to his destination is an appropriate action, as it prevents the visitor from wandering around unattended and accessing unauthorized areas or information. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 42. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 15.
NEW QUESTION # 41
下列哪兩個短語是與第一方審核相關的「目標」？
- A. 確認管理系統的範圍準確
- B. 為認證機構準備審核報告
- C. 更新管理策略
- D. 應用國際標準
- E. 按時完成審核
- F. 應用監理要求
Answer: A,C
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 # 42
情境 5：Data Grid Inc. 是一家知名公司，為整個資訊科技基礎設施提供安全服務。它提供網路安全軟體，包括端點安全、防火牆和防毒軟體。二十年來，Data Grid Inc. 透過先進的產品和服務幫助多家公司保護其網路安全。 Data Grid Inc. 在資訊和網路安全領域享有盛譽，決定獲得 ISO/IEC 27001 認證，以更好地保護其內部和客戶資產並獲得競爭優勢。
Data Grid Inc. 任命了審計團隊，該團隊同意審計任務的條款。此外，Data Grid Inc.明確了審核範圍，明確了審核標準，並建議在五天內結束審核。由於Data Grid Inc.員工人數眾多，流程複雜，審計小組拒絕了Data Grid Inc.在五天內進行審計的提議。 Data Grid Inc.堅稱他們計劃在五天內完成審核，因此雙方同意在規定的時間內進行審核。審計小組遵循基於風險的審計方法。
為了獲得主要業務流程和控制的概述，審計團隊存取了流程描述和組織圖表。他們無法對 IT 風險和控制進行更深入的分析，因為他們對 IT 基礎架構和應用程式的存取受到限制。然而，審計小組表示，Data Grid Inc. 的 ISMS 出現重大缺陷的風險很低，因為該公司的大部分流程都是自動化的。因此，他們透過詢問 Data Grid Inc. 的代表以下問題來評估 ISMS 整體上符合標準要求：
*如何定義和指派 IT 和 IT 控制的職責？
*Data Grid Inc. 如何評估控制措施是否達到了預期效果？
*Data Grid Inc. 採取了哪些控制措施來保護操作環境和資料免受惡意軟體的侵害？
*是否實施了與防火牆相關的控制？
Data Grid Inc. 的代表提供了充分且適當的證據來解決所有這些問題。
審計組長起草審計結論並向Data Grid Inc. 的最高管理階層報告。
儘管審核員推薦Data Grid Inc.進行認證，但Data Grid Inc.與認證機構之間在審核目標方面產生了誤解。 Data Grid Inc. 表示，儘管審計目標包括確定潛在改進的領域，但審計團隊並未提供此類資訊。
根據該場景，回答以下問題：
如何避免認證機構和 Data Grid Inc. 之間產生誤解？
請參閱場景 5。
- A. 定義審核計劃
- B. 簽署認證協議
- C. 驗證審核報價
Answer: B
Explanation:
Signing the certification agreement, which should clearly outline the audit objectives, scope, and responsibilities, would help prevent misunderstandings between the certification body and Data Grid Inc. A well-defined agreement ensures both parties have a clear understanding of what the audit will entail and what outputs are expected.
NEW QUESTION # 43
您正在一家名為 ABC 的提供醫療保健服務的住宅療養院進行 ISMS 審核。
審核計劃的下一步是驗證 ABC 醫療保健行動應用程式開發、支援和生命週期流程的資訊安全性。在審核過程中，您了解到該組織將行動應用程式開發外包給了經過CMMI 5 級、ITSM (ISO/IEC 20000-1)、BCMS (ISO 22301) 和ISMS (ISO/IEC 27001) 認證的專業軟體開發組織。
IT經理介紹了軟體安全管理流程，並將流程總結如下：
行動應用程式開發至少應採用「設計安全」和「預設安全」原則。應具備以下個人資料保護安全功能：
存取控制。
個人資料加密，即高階加密標準（AES）演算法，金鑰長度：256位元；個人資料假名化。
已檢查漏洞，無安全後門
您採樣最新的行動應用測試報告 - 參考 ID：0098，詳細資訊如下：
您想進一步調查其他領域以收集更多審計證據。選擇三個不會出現在您的審核追蹤中的選項。
- A. 收集更多有關開發人員如何培訓其產品支援人員的證據。 （與第7.2條相關）
- B. 收集更多證據，了解居民家庭成員為安裝 ABC 的醫療保健行動應用程式支付的費用。 （與第4.2條相關）
- C. 收集更多有關組織如何執行個人資料處理測試的證據。 （與控制措施 A.5.34 相關）
- D. 收集更多有關組織業務連續性政策的證據。 （與控制措施 A.5.30 相關）
- E. 透過在手機上下載並測試行動應用程式來收集更多證據。 （與控制 A.8.1 相關）
- F. 收集更多證據以確定 ABC 醫療保健行動應用程式的使用者數量。 （與第4.2條相關）
- G. 收集更多證據來驗證開發人員的 CMMI Level 5、ITSM (ISO/IEC 20000-1)、BCMS (ISO22301) 和 ISMS (ISO/IEC 27001) 認證。 （與控制措施 A.5.21 相關）
- H. 收集更多有關組織在選擇外部服務提供者時如何管理資訊安全的證據。 （與控制措施 A.5.19 相關）
Answer: B,F,G
Explanation:
The three options that will not be in your audit trail are A, C, and H. These options are either not relevant to the information security of ABC's healthcare mobile app development, support, and lifecycle process, or not within the scope of your audit. The amount of money that residents' family members pay to install the app (A) and the number of users of the app are not related to the information security aspects or objectives of the ISMS1. The verification of the developer's certifications (H) is not your responsibility as an ISMS auditor, as you should rely on the competence and impartiality of the certification bodies that issued them2. The other options are relevant and within the scope of your audit, as they relate to the security functions, testing, policies, and procedures of the mobile app development, support, and lifecycle process13. References: 1: ISO
/IEC 27001:2022, Information technology - Security techniques - Information security management systems - Requirements, Clause 4.2 \n2: ISO/IEC 27006:2022, Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems, Clause 4.1 \n3: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 5:
Conducting an ISO/IEC 27001 audit
NEW QUESTION # 44
您將收到來自 IT 支援團隊的以下郵件： 尊敬的用戶，從下週開始，我們將刪除所有不活動的電子郵件帳戶，以便創建空間共享以下詳細信息，以便繼續使用您的帳戶。如果沒有回复，姓名：
電子郵件地址：
密碼：
出生日期：
請聯絡網路郵件團隊以獲得進一步的支援。感謝您的關注。
下列哪一項是最好的回應？
- A. 不應回覆這些郵件並向您的主管報告此類電子郵件
- B. 回應說不應與任何人分享密碼
- C. 忽略電子郵件
Answer: A
Explanation:
The best response to the email from the IT support team asking for personal details is to not respond to the email and report it to your supervisor. The email is likely a phishing attempt, which is a form of social engineering that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. The IT support team should never ask for your password or other personal details via email, as this is a violation of information security policies and best practices. Ignoring the email or responding to it by saying that one should not share the password with anyone are not sufficient responses, as they do not alert the IT support team or your supervisor about the phishing attempt, which could affect other users as well. Reporting the email to your supervisor is a responsible action that could help prevent further damage or compromise of information. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2). Reference: 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 Phishing?
NEW QUESTION # 45
情境7
Lawsy是一家領先的律師事務所，在泰國曼谷設有辦事處。它擁有50多名律師，為客戶提供商業法、智慧財產權、銀行和金融服務等領域的專業法律服務。
他們相信，憑藉對資訊安全最佳實踐的貫徹落實以及對技術發展的持續關注，他們在市場上擁有穩固的地位。
兩年來，Lawsy 一直嚴格執行、評估並進行資訊安全管理系統 (ISMS) 的內部審核。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。
在第一階段審核中，審核團隊審查了實施階段所創建的所有資訊安全管理系統(ISMS)文件。他們還審查並評估了管理評審和內部審核的記錄。 Lawsy提交的證據記錄表明，在必要時已對不符合項採取了糾正措施，因此審核團隊對內部審核員進行了訪談。訪談透過深入了解內部審核計畫和程序，驗證了內部審核的充分性和頻率。
審計團隊繼續核實策略文件，包括資訊安全政策和風險評估標準。在資訊安全政策審查過程中，團隊發現已記錄的治理框架資訊與實際操作流程有不一致之處。第一階段完成後，審計團隊負責人制定了審計計劃，其中涵蓋了審計目標、範圍、標準和流程。
在第二階段審計中，審計團隊採訪了資訊安全經理，他負責起草資訊安全政策。他解釋說，Lawsy 每三個月都會進行強制性的資訊安全培訓和意識提升活動，以此來解釋第一階段發現的問題。
審計小組隨後發現，儘管勞西公司允許員工將筆記型電腦帶出工作場所，但該公司並未制定在工作場所外使用筆記型電腦的相關程序。該公司僅提供關於筆記型電腦使用的一般性信息，並依賴員工的常識來保護儲存在筆記型電腦上的資訊的機密性和完整性。
面談結束後，審核小組審查了15份員工培訓記錄(共50份)，並得出結論：Lawsy符合ISO/IEC 27001關於培訓和意識方面的要求。為佐證該結論，審核員在審核結束後對審查的員工培訓記錄進行了複印和存檔。
問題
在審計過程中，團隊抽取了50名員工中的15名員工的訓練記錄進行審查。這種情況說明了什麼？請參考以下情景。
- A. 與審計師相關的風險
- B. 固有風險
- C. 抽樣誤差
Answer: C
Explanation:
This situation represents a sampling error, making option B the correct answer. ISO 19011:2018 explicitly states that management system audits are conducted using sampling techniques because it is impractical to examine all available information within the constraints of time and resources. When auditors select a subset of records, there is an inherent risk that the sample may not fully represent the entire population.
In this scenario, the audit team reviewed training records for 15 out of 50 employees to assess conformity with ISO/IEC 27001 training and awareness requirements. While this is an acceptable and standard audit practice, it introduces the possibility that the selected sample may not reflect gaps or issues present in the remaining records. This uncertainty is known as sampling risk or sampling error.
Option A is incorrect because a "risk related to the auditor" generally refers to competence, impartiality, or ethical behavior issues, none of which are indicated here. The auditors followed a recognized audit method.
Option C is incorrect because inherent risk relates to the nature of the organization or its environment, not to the audit technique used.
Sampling error does not imply that the audit conclusion is invalid; rather, it reflects a known limitation of audits that auditors must manage through professional judgment and appropriate sample selection. Therefore, reviewing a subset of training records represents sampling error.
NEW QUESTION # 46
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