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

SectionWeightObjectives
Auditing Principles and Practices30%- Audit preparation and planning
  • 1. Defining audit scope, criteria and methodology
    • 2. Development of audit plan and checklist
      - Audit reporting and follow-up
      • 1. Structure and content of audit report
        • 2. Corrective action verification and closure
          - Audit concepts and principles
          • 1. Audit types and objectives
            • 2. Independence, objectivity and evidence-based approach
              - Audit execution
              • 1. Identifying nonconformities and opportunities for improvement
                • 2. Conducting interviews and document reviews
                  • 3. Collecting and verifying audit evidence
                    Fundamental Concepts of Information Security15%- Information security principles and definitions
                    • 1. Risk management fundamentals
                      • 2. Confidentiality, integrity, availability
                        - Overview of ISO/IEC 27000 family of standards
                        • 1. Relationship between ISO/IEC 27001 and other standards
                          • 2. Structure and scope of ISO/IEC 27000 series
                            Requirements of ISO/IEC 27001:202230%- Leadership and planning
                            • 1. Management commitment and policy establishment
                              • 2. Information security objectives and risk treatment planning
                                - General requirements and ISMS scope definition
                                • 1. Determining ISMS boundaries and applicability
                                  • 2. Understanding the organization and its context
                                    - Support, operation, performance evaluation and improvement
                                    • 1. Corrective action and continual improvement
                                      • 2. Resource management and competence
                                        • 3. Internal audit and management review
                                          Information Security Controls (ISO/IEC 27002:2022)25%- Control categories and implementation guidance
                                          • 1. People controls
                                            • 2. Organizational controls
                                              • 3. Technological controls
                                                • 4. Physical controls

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                                                  PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions (Q123-Q128):

                                                  NEW QUESTION # 123
                                                  場景 9:Techmanic 是一家比利時公司,成立於 1995 年,目前在布魯塞爾運作。它提供 IT 諮詢、軟體設計和硬體/軟體服務,包括部署和維護。該公司服務於公共服務、金融、電信、能源、醫療保健和教育等行業。作為一家以客戶為中心的公司,它優先考慮建立牢固的客戶關係並引領安全實踐。
                                                  Techmanic 已獲得 ISO/IEC 27001 認證一年,並對此認證感到自豪。在認證審核期間,審核員發現其 ISMS 實施上存在一些不一致之處。由於觀察到的情況並不影響其 ISMS 實現預期結果的能力,因此在審計師遠端跟進根本原因分析和糾正措施後,Techmanic 獲得了認證。的遵守情況。認識持續改進的價值並從過去的評估中學習。 Techmanic 實施了審查先前的監督審計報告的做法。這種積極主動的方法不僅有助於識別和解決潛在的不合格情況,而且還旨在簡化 IT 諮詢領域的重新認證流程。
                                                  監督審核期間,發現了多處不符合項。 ISMS 繼續滿足 ISO/IEC 27001*s 的要求,但根據內部稽核員的報告,Techmanic 未能解決與託管服務相關的不符合問題。此外,內部稽核報告存在多處不一致之處,這使人們對內部稽核師在託管服務審計過程中的獨立性產生了質疑。基於此,延期認證未獲核准。因此。 Techmanic 請求轉移到另一個認證機構。同時,該公司向客戶發布聲明稱,ISO/IEC 27001 認證涵蓋 IT 服務以及託管服務。
                                                  根據上述情景,回答以下問題:
                                                  在 Techmanic 重新認證活動中審查先前的監督審核報告的目的是否被適當定義?

                                                  Answer: A

                                                  Explanation:
                                                  Comprehensive and Detailed In-Depth
                                                  C . Correct answer:
                                                  Recertification reviews the overall ISMS performance over the certification cycle, not just past audit findings.
                                                  A . Incorrect:
                                                  Previous audit findings do not replace the need for a full recertification audit.
                                                  B . Incorrect:
                                                  Recertification is not about industry benchmarking-it is about ISMS effectiveness.
                                                  Relevant Standard Reference:


                                                  NEW QUESTION # 124
                                                  您正在國際物流組織的出貨部門進行 ISMS 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。
                                                  您提出不符合項。參考該場景,您希望受審核方在進行後續審核時實施下列哪三項附件 A 控制措施?

                                                  Answer: C,F,H

                                                  Explanation:
                                                  The three Annex A controls that you would expect the auditee to have implemented when you conduct the follow-up audit are:
                                                  * B. 5.13 Labelling of information
                                                  * E. 5.34 Privacy and protection of personal identifiable information (PII)
                                                  * G. 6.3 Information security awareness, education, and training
                                                  * B. This control requires the organisation to label information assets in accordance with the information classification scheme, and to handle them accordingly12. This control is relevant for the auditee because it could help them to avoid misaddressing labels and sending parcels to wrong destinations, which could compromise the confidentiality, integrity, and availability of the information assets. By labelling the information assets correctly, the auditee could also ensure that they are delivered to the intended recipients and that they are protected from unauthorized access, use, or disclosure.
                                                  * E. This control requires the organisation to protect the privacy and the rights of individuals whose personal identifiable information (PII) is processed by the organisation, and to comply with the applicable legal and contractual obligations13. This control is relevant for the auditee because it could help them to prevent the unauthorized use of residents' personal data by a supplier, which could violate the privacy and the rights of the residents and their family members, and expose the auditee to legal and reputational risks. By protecting the PII of the residents and their family members, the auditee could also enhance their trust and satisfaction, and avoid complaints and disputes.
                                                  * G. This control requires the organisation to ensure that all employees and contractors are aware of the information security policy, their roles and responsibilities, and the relevant information security procedures and controls14. This control is relevant for the auditee because it could help them to improve the information security culture and behaviour of their staff, and to reduce the human errors and negligence that could lead to information security incidents. By providing information security awareness, education, and training to their staff, the auditee could also increase their competence and performance, and ensure the effectiveness and efficiency of the information security processes and controls.
                                                  References:
                                                  1: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, Annex A 2: ISO/IEC 27002:2022 - Information technology - Security techniques - Code of practice for information security controls, clause 8.2.1 3: ISO/IEC 27002:
                                                  2022 - Information technology - Security techniques - Code of practice for information security controls, clause 18.1.4 4: ISO/IEC 27002:2022 - Information technology - Security techniques - Code of practice for information security controls, clause 7.2.2


                                                  NEW QUESTION # 125
                                                  您收到一封電子郵件,要求您發送姓名、電子郵件和密碼等訊息,才能繼續使用您的電子郵件帳戶。如果您不發送此類訊息,您的電子郵件帳戶將被停用。這個場景呈現了什麼?

                                                  Answer: A

                                                  Explanation:
                                                  The scenario described is a classic example of a phishing attack, which is a type of social engineering threat where attackers masquerade as a trustworthy entity in an electronic communication. The goal is to trick individuals into providing sensitive information. This represents an unauthorized action type of threat because it involves an attacker attempting to gain unauthorized access to personal information. References: = This understanding of phishing as a threat is consistent with the principles of information security management systems and is supported by resources that describe phishing attacks and their prevention


                                                  NEW QUESTION # 126
                                                  審核方法可以與代表受審核方的個人互動,也可以不互動。下列哪兩種方法具有互動性?

                                                  Answer: C,E

                                                  Explanation:
                                                  According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, audit methods can be classified into two categories: with or without interaction with individuals representing the auditee (page 12).
                                                  Audit methods with interaction include reviewing checklists with auditee and conducting interviews, as they involve direct communication and feedback from the auditee. Audit methods without interaction include sampling (e.g. products), observing work performed via live video streaming, checking legal compliance with local authorities, and analysing documents provided in advance of the audit, as they do not require any dialogue or exchange with the auditee. References: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 12.


                                                  NEW QUESTION # 127
                                                  完成第一階段並準備第二階段初步認證審核後,受審核方通知審核小組負責人,他們希望擴大審核範圍,以包括該組織最近收購的另外兩個場所。
                                                  考慮到這些訊息,您希望審計小組負責人採取什麼行動?

                                                  Answer: C

                                                  Explanation:
                                                  According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, a certification body should establish criteria for determining audit time and audit team composition based on factors such as the scope of certification, size and complexity of the organization, risks associated with its activities, etc2. Therefore, if an auditee requests to extend the audit scope to include two additional sites after completing Stage 1 of an initial certification audit, the audit team leader should obtain information about the additional sites to inform the certification body, so that they can review and approve the change in scope and adjust the audit time and audit team accordingly2. The other options are not appropriate actions for the audit team leader to take in this situation. For example, increasing the length of the Stage 2 audit to include the extra sites without informing the certification body may violate their procedures and policies; arranging to complete a remote Stage 1 audit of the two sites using a video conferencing platform may not be feasible or effective depending on the nature and location of the sites; and informing the auditee that the request can be accepted but a full Stage 1 audit must be repeated may not be necessary or reasonable if there are no significant changes in the auditee's ISMS since Stage 12. Reference: ISO/IEC 17021-1:2015 - Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements


                                                  NEW QUESTION # 128
                                                  ......

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