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PECB ISO-IEC-27001-Lead-Auditor 中文 Exam Syllabus Topics:

SectionObjectives
Topic 1: Conducting an Audit- Audit execution
  • 1. Nonconformity identification
    • 2. Evidence collection and verification
      • 3. Interviewing techniques
        Topic 2: Information Security Management System (ISMS) based on ISO/IEC 27001- ISO/IEC 27001 requirements (Clauses 4–10)
        • 1. Operation and controls
          • 2. Support and resources
            • 3. Context of the organization
              • 4. Improvement and corrective actions
                • 5. Planning and risk management
                  • 6. Leadership and commitment
                    • 7. Performance evaluation
                      Topic 3: Closing the Audit- Audit reporting and follow-up
                      • 1. Audit report preparation
                        • 2. Corrective action review
                          Topic 4: Fundamentals of Information Security Auditing- Audit principles based on ISO 19011
                          • 1. Confidentiality and independence
                            • 2. Integrity, fair presentation, due professional care
                              Topic 5: Planning and Initiating an Audit- Audit program and planning activities
                              • 1. Audit team selection
                                • 2. Defining audit objectives, scope, and criteria

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                                  PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions (Q365-Q370):

                                  NEW QUESTION # 365
                                  您是一位經驗豐富的 ISMS 審核團隊領導,為審核員提供培訓指導。他們對風險流程的理解不清楚,並要求您向他們提供下面詳細介紹的每個流程的範例。
                                  將提供的每項描述與下列風險管理流程之一相符。
                                  要填寫表格,請按一下要填寫的空白部分,使其以紅色突出顯示,然後從下面的選項中按一下適用的文字。或者,您可以將每個選項拖曳到適當的空白部分。

                                  Answer:

                                  Explanation:

                                  Explanation:

                                  * Risk analysis is the process by which the nature of the risk is determined along with its probability and impact. Risk analysis involves estimating the likelihood and consequences of potential events or situations that could affect the organization's information security objectives or requirements12. Risk analysis could use qualitative or quantitative methods, or a combination of both12.
                                  * Risk management is the process by which a risk is controlled at all stages of its life cycle by means of the application of organisational policies, procedures and practices. Risk management involves establishing the context, identifying, analyzing, evaluating, treating, monitoring, and reviewing the risks that could affect the organization's information security performance or compliance12. Risk management aims to ensure that risks are identified and treated in a timely and effective manner, and that opportunities for improvement are exploited12.
                                  * Risk identification is the process by which a risk is recognised and described. Risk identification involves identifying and documenting the sources, causes, events, scenarios, and potential impacts of risks that could affect the organization's information security objectives or requirements12. Risk identification could use various techniques, such as brainstorming, interviews, checklists, surveys, or historical data12.
                                  * Risk evaluation is the process by which the impact and/or probability of a risk is compared against risk criteria to determine if it is tolerable. Risk evaluation involves comparing the results of risk analysis with predefined criteria that reflect the organization's risk appetite, tolerance, or acceptance12. Risk evaluation could use various methods, such as ranking, scoring, or matrix12. Risk evaluation helps to prioritize and decide on the appropriate risk treatment options12.
                                  * Risk mitigation is the process by which the impact and/or probability of a risk is reduced by means of the application of controls. Risk mitigation involves selecting and implementing measures that are designed to prevent, reduce, transfer, or accept risks that could affect the organization's information security objectives or requirements12. Risk mitigation could include various types of controls, such as technical, organizational, legal, or physical12. Risk mitigation should be based on a cost-benefit analysis and a residual risk assessment12.
                                  * Risk transfer is the process by which a risk is passed to a third party, for example through obtaining appropriate insurance. Risk transfer involves sharing or shifting some or all of the responsibility or liability for a risk to another party that has more capacity or capability to manage it12. Risk transfer could include various methods, such as contracts, agreements, partnerships, outsourcing, or insurance12. Risk transfer should not be used as a substitute for effective risk management within the organization12.
                                  References :=
                                  * ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements
                                  * ISO/IEC 27005:2022 Information technology - Security techniques - Information security risk management


                                  NEW QUESTION # 366
                                  在可接受的資訊資產使用中,哪一個是最佳實務?

                                  Answer: A

                                  Explanation:
                                  The best practice in acceptable use of information assets is A: access to information and communication systems are provided for business purpose only. This means that the organization grants access to its information and communication systems only to authorized users who need to use them for legitimate and approved business activities. The organization does not allow or tolerate any unauthorized, inappropriate or personal use of its information and communication systems, as this could compromise information security, violate policies or laws, or cause damage or harm to the organization or its stakeholders. The other options are not best practices in acceptable use of information assets, as they could violate information security policies and procedures, as well as ethical or legal standards. Interfering with or denying service to any user other than the employee's host (B) is a malicious act that could disrupt the availability or performance of the information systems or services of another user or organization. Playing any computer games during office hours is a personal and unprofessional use of the information and communication systems that could distract the employee from their work duties, waste resources and bandwidth, or expose the systems to malware or other risks. Accessing phone or network transmissions, including wireless or wifi transmissions (D) is a potential breach of confidentiality or privacy that could intercept, monitor or modify the information transmitted by another user or organization without their consent or authorization. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3). 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 Acceptable Use?


                                  NEW QUESTION # 367
                                  預測分析如何幫助審計師識別潛在風險?

                                  Answer: B

                                  Explanation:
                                  Comprehensive and Detailed In-Depth
                                  B: Correct Answer:
                                  Predictive analytics uses historical data, machine learning, and statistical models to predict future risk events.
                                  It identifies patterns in security incidents, financial trends, and operational failures to anticipate risks before they occur.
                                  A: Incorrect:
                                  Real-time analysis is part of monitoring, but predictive analytics focuses on forecasting risks, not just real-time reporting.
                                  C: Incorrect:
                                  Data organization is essential but does not involve forecasting risks.
                                  Relevant Standard Reference:
                                  ISO 31000:2018 (Risk Management - Guidelines on Using Data Analytics in Risk Assessment)


                                  NEW QUESTION # 368
                                  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。

                                  Answer: C,E,F,G

                                  Explanation:
                                  The four options for the actions you could take are A, C, F, and G. These options are consistent with the guidance and requirements of ISO 19011:2018, Clause 6.712. You could agree with the auditee/audit client how the remaining nonconformity will be cleared, by when, and how its clearance will be verified (A), and document the agreement in the audit report1. You could close the follow-up audit as the organisation has demonstrated it is committed to clearing the nonconformities raised , and report the outcome to the audit client and other relevant parties1. You could note the progress made but hold the audit open until all corrective action has been cleared (F), and determine the need for another follow-up audit or other actions1.
                                  You could also advise the individual managing the audit programme of any decision taken regarding the outstanding nonconformity (G), as they are responsible for the overall management and coordination of the audit programme3. The other options are either not appropriate or not necessary for the situation. You should not recommend that the outstanding minor nonconformity is dealt with at the next surveillance audit (B), as this may compromise the audit objectives and the audit programme1. You should not recommend suspension of the organisation's certification as they have failed to implement the agreed corrections and corrective actions within the agreed timescale (D), as this is not within your role or authority as an ISMS auditor4. You should not advise the auditee that you will arrange for the next audit to be an online audit to deal with the outstanding nonconformity (E), as this may not be feasible or effective depending on the nature and complexity of the nonconformity1. You should not conduct an unannounced follow-up audit on-site to review the one outstanding minor nonconformity once it has been cleared (H), as this may not be in accordance with the audit agreement or the audit programme1. 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 \n3: ISO 19011:2018, Guidelines for auditing management systems, Clause 5.3 \n4: ISO/IEC 27006:2022, Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems, Clause 9.6


                                  NEW QUESTION # 369
                                  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技術控制措施。
                                  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。

                                  Answer: B,C,E,H

                                  Explanation:
                                  The four controls from the list that the auditor in training should review are:
                                  *B. How access to source code and development tools are managed: This control requires the organisation to restrict and monitor the access to the source code and development tools that are used to create, modify, or maintain the software applications and systems that process or store the data of external clients. This is important for ensuring the integrity, confidentiality, and availability of the software and the data, as well as for preventing unauthorized changes, errors, or malicious code injection.
                                  *D. How protection against malware is implemented: This control requires the organisation to implement appropriate measures to detect, prevent, and remove malware from the IT systems and devices that process or store the data of external clients. This includes using antivirus software, firewalls, email filtering, web filtering, and other tools to protect against viruses, worms, ransomware, spyware, and other malicious software. This is essential for safeguarding the data and the systems from corruption, theft, or damage caused by malware.
                                  *E. How the organisation evaluates its exposure to technical vulnerabilities: This control requires the organisation to identify and assess the technical vulnerabilities that may affect the IT systems and devices that process or store the data of external clients. This includes using vulnerability scanning tools, penetration testing tools, threat intelligence sources, and other methods to discover and evaluate the weaknesses and gaps in the security of the systems and the devices. This is necessary for prioritizing and implementing the appropriate corrective actions and controls to mitigate the risks posed by the vulnerabilities.
                                  *G. The organisation's arrangements for information deletion: This control requires the organisation to establish and implement policies and procedures for deleting the data of external clients from the IT systems and devices when it is no longer needed or required. This includes defining the criteria and methods for data deletion, such as secure erasure, encryption, or physical destruction. This is important for complying with the contractual obligations and the legal and regulatory requirements regarding the retention and disposal of the data, as well as for protecting the confidentiality and integrity of the data.
                                  References: = ISO/IEC 27001:2022, Annex A, clauses A.8.9, A.8.10, A.8.11, and A.8.28; Understanding ISO
                                  27001:2022: People, process, and technology, pages 6-7; What are the 11 new security controls in ISO 27001:
                                  2022? - Advisera.


                                  NEW QUESTION # 370
                                  ......

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