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

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

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                                                  PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions (Q35-Q40):

                                                  NEW QUESTION # 35
                                                  「糾正措施」一詞是什麼意思?選擇一項

                                                  Answer: A

                                                  Explanation:
                                                  Corrective action is a process of identifying and eliminating the root causes of nonconformities or incidents that have occurred or could potentially occur, in order to prevent their recurrence or occurrence. Corrective action is part of the improvement requirement of ISO 27001 and follows a standard workflow of identification, evaluation, implementation, review and documentation of corrections and corrective actions. Reference: Procedure for Corrective Action, Nonconformity & Corrective Action For ISO 27001 Requirement 10.1, PECB Candidate Handbook ISO 27001 Lead Auditor (page 12)


                                                  NEW QUESTION # 36
                                                  使用審計測試計劃組合的目的是什麼?

                                                  Answer: B

                                                  Explanation:
                                                  Comprehensive and Detailed In-Depth
                                                  A . Correct Answer:
                                                  Combining multiple audit test plans ensures different perspectives and validation techniques are applied, improving audit accuracy.
                                                  ISO 19011:2018 encourages a diversified approach to auditing to ensure comprehensive results.
                                                  B . Incorrect:
                                                  Not all areas require equal auditing-risk-based focus is preferred.
                                                  C . Incorrect:
                                                  Frequent audits may still be required depending on organizational needs.
                                                  Relevant Standard Reference:


                                                  NEW QUESTION # 37
                                                  下列哪兩個選項不參與第一方審核?

                                                  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. Reference: 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 # 38
                                                  受限文件和機密文件有什麼差別?

                                                  Answer: A

                                                  Explanation:
                                                  The difference between a restricted and confidential document is that a restricted document is to be shared among named individuals, while a confidential document is to be shared among an authorized group.
                                                  Restricted and confidential are examples of information classification levels that indicate the sensitivity and value of information and the degree of protection required for it. Restricted documents contain information that could cause serious damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by specific individuals who have a legitimate need to know and are authorized by the information owner. Confidential documents contain information that could cause damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by a defined group of people who have a legitimate need to know and are authorized by the information owner. ISO/IEC 27001:2022 requires the organization to classify information in terms of legal requirements, value, criticality and sensitivity to unauthorized disclosure or modification (see clause A.
                                                  8.2.1). 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 Classification?


                                                  NEW QUESTION # 39
                                                  情境 4
                                                  SendPay是一家金融服務公司,專注於透過代理商和機構網路提供全球匯款服務。作為市場新秀,SendPay致力於提供優質服務,其去年推出的免手續費數位平台讓客戶可以隨時隨地透過智慧型手機和筆記型電腦收發款項。當時,SendPay將軟體營運外包給外部團隊,該團隊也負責管理公司的技術基礎設施。
                                                  最近,該公司在實施資訊安全管理系統 (ISMS) 近一年後,申請了 ISO/IEC 27001 認證。
                                                  在審計過程中,審計人員重點審查了 SendPay 的外包業務,特別是外包公司負責的軟體開發和技術基礎設施維護。
                                                  他們採取了一套結構化的方法,其中包括審查和評估SendPay用於監控外包業務品質的流程。這包括核實該公司是否履行了合約義務,確保其在聘用外包實體方面擁有適當的管理程序,以及評估SendPay在預期或意外終止外包協議的情況下所採取的應對措施。
                                                  然而,審計人員委婉地指出,SendPay的協議並未充分考慮到外包協議意外取消的情況。此外,SendPay委派的技術專家協助審計人員,提供了與受審計外包業務相關的專業知識和經驗。
                                                  審計團隊計算了員工接受資訊安全管理系統 (ISMS) 培訓的小時數,以確保其符合既定目標。他們也基於審計期間抽取的樣本,計算了資訊安全事件的平均解決時間,從而深入了解了 SendPay 的事件管理實務。此外,審計人員還評估了審計期間收集的證據的可靠性。他們考慮了影響審計證據可靠性的多個因素。例如,與照片相比,監視錄影提供的證據更為客觀。時間因素也對可靠性起著至關重要的作用,交易記錄等機制可以增強證據的可信度。
                                                  SendPay 使用雲端平台來提高營運效率和可擴展性。然而,由於資源限制,審計人員在審計過程中並未要求 SendPay 提供其雲端活動清單,而是依賴 SendPay 的陳述。
                                                  問題
                                                  審計人員在審計過程中是否對 SendPay 的雲端環境有了透徹的了解?請參閱情境 4。

                                                  Answer: C

                                                  Explanation:
                                                  The auditors did not establish a thorough understanding of SendPay's cloud environment, making option B the correct answer. ISO/IEC 27001:2022 requires organizations to define and control the scope of their ISMS, including the technologies and environments used to process information. Cloud-based platforms represent a significant component of SendPay's operations, particularly in a financial services context where confidentiality, integrity, and availability are critical.
                                                  In the scenario, the auditors explicitly chose not to request an inventory of SendPay's cloud activities due to resource limitations and instead relied on SendPay's representations. While practical constraints can influence audit scope, ISO 19011 requires auditors to obtain sufficient and appropriate evidence to support audit conclusions. Without a clear inventory or understanding of cloud activities, auditors cannot adequately assess risks, controls, or responsibilities related to cloud usage.
                                                  Option A is incorrect because the scenario clearly states that cloud activities were not fully examined. Option C is incorrect because reliance on assurances without supporting evidence does not meet the evidence-based auditing principle. Auditor reliance must be supported by verifiable information, especially when assessing outsourced or cloud-based services.
                                                  Therefore, the absence of a cloud activity inventory indicates that the auditors did not gain a thorough understanding of SendPay's cloud environment, which is why option B is the correct answer.


                                                  NEW QUESTION # 40
                                                  ......

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