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PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions (Q293-Q298):
NEW QUESTION # 293
您會在某些實體資產上看到藍色貼紙。這意味著什麼?
- A. 資產至關重要,影響力僅限於員工
- B. 資產非常重要,其故障會影響整個組織
- C. 帶有藍色貼紙的資產應始終保持空調狀態
- D. 資產非常關鍵,其故障將影響組織中小組/專案的工作
Answer: D
Explanation:
You see a blue color sticker on certain physical assets. This signifies that the asset is high critical and its failure will affect a group/s/project's work in the organization. A blue color sticker is a type of label that indicates the level of criticality of an asset, which is a measure of how important an asset is for the organization's operations and objectives. A high critical asset is an asset that has a significant impact on the organization's activities, and its loss or damage would cause major disruption or loss of service. A blue color sticker also implies that the asset requires a high level of protection and security, and should be handled with care. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 36. : [ISO/IEC
27001 Brochures | PECB], page 6.
NEW QUESTION # 294
檢查以下陳述並確定哪兩項是錯誤的:
- A. 出於保密和安全考慮,虛擬審核期間的螢幕共享是審核團隊審查受審核方文件的一種方法
- B. 選擇現場、虛擬或組合審核應考慮歷史績效和先前的審核結果
- C. 在虛擬審核之前進行技術檢查可以提高審核的有效性和效率
- D. 在虛擬審核期間,強烈建議參與面談的受審核方保持網路攝影機處於啟用狀態
- E. 獲準進行現場審核的審核員不需要進行虛擬審核的額外培訓,因為所需的技能沒有顯著差異
- F. 分配給第三方審核的天數取決於受審核方的空閒時間
Answer: E,F
Explanation:
A: Auditors approved for conducting onsite audits do require additional training for virtual audits to ensure they are competent in using the technology and tools required for conducting audits remotely12.
E: The number of days assigned to a third-party audit is not determined by the auditee's availability, but rather by factors such as the size and complexity of the organization, the scope of the audit, and the requirements of the certification body34.
NEW QUESTION # 295
在第三方認證審核中,保密性是審核計畫中的一個問題。選擇正確說明審計中保密功能的兩個選項
- A. 審核員在使用攝影機或錄音設備之前應獲得受審核方的許可
- B. 審核團隊中的觀察員無法存取任何機密資訊
- C. 監理要求迫使審核員在審核中保密
- D. 保密是審計行為的原則之一
- E. 由於審核員始終有導遊陪同,因此不會對受審核方的敏感資訊造成風險
- F. 審計資訊可用於審計人員提升個人能力
Answer: A,D
Explanation:
Confidentiality is one of the principles of audit conduct that auditors should adhere to when performing audits. Confidentiality means that auditors should exercise discretion in the use and protection of information acquired in the course of their duties3. Auditors should respect the intellectual property rights of the auditee and other parties involved in the audit, and should not disclose any information that is sensitive, proprietary, or confidential without prior approval from the auditee or other authorized parties3. Auditors should also obtain the auditee's permission before using a camera or recording equipment during an audit, as these devices may capture confidential information or infringe on the privacy of individuals3. Therefore, these two options correctly state the function of confidentiality in an audit. The other options are either incorrect or irrelevant to confidentiality. For example, auditors are not forced by regulatory requirements to maintain confidentiality in an audit, but rather by ethical obligations and contractual agreements3. Observers in an audit team can access confidential information if they have signed a confidentiality agreement and have been authorized by the auditee3. Audit information can be used for improving personal competence by the auditor only if it does not compromise confidentiality or conflict with other interests3. As an auditor is always accompanied by a guide, there is still a risk to the auditee's sensitive information if the guide is not trustworthy or authorized to access such information3. Reference: ISO 19011:2018 - Guidelines for auditing management systems
NEW QUESTION # 296
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?
- A. 透過即時視訊串流觀察執行的工作
- B. 抽樣(例如產品)
- C. 進行採訪
- D. 檢查地方當局的法律合規性
- E. 與受審核方一起檢討清單
- F. 分析審核前提供的文件
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. Reference: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 12.
NEW QUESTION # 297
場景 3:Rebuildy 是一家位於泰國曼谷的建築公司,專門從事住宅建築的設計、建造和維護。為了確保敏感專案資料和客戶資訊的安全,Rebuildy 決定實施基於 ISO/IEC 27001 的資訊安全管理系統 (ISMS)。
ISMS 實施成果如下
* 資訊安全是透過應用一系列安全控制和製定政策、流程和程序來實現的。
* 安全控制是根據風險評估實施的,旨在消除風險或將風險降低到可接受的水平。
* 所有流程均基於計劃-執行-檢查-行動 (PDCA) 模型確保 ISMS 的持續改進。
* 資訊安全政策是根據最佳安全實務起草的安全手冊的一部分,因此,它不是一份獨立的文件。
* 資訊安全角色和職責已在每位員工的職位說明中明確說明
* 資訊安全管理系統的管理評審是依照計畫的時間間隔進行的。
Rebuildy 在經歷了兩次中期管理評審和一次年度內部審計後申請了認證。該前員工向審計團隊成員 Electra 提交了書面證據,Rebuildy 的主要客戶 Electra 也提交了有關相同問題的證據,審計員決定保留這份證據,而不是前員工的證據。審計團隊成員一直與 Electra 保持聯繫,直至審計完成,討論審計期間發現的不符合。伊萊克特拉提供了額外的證據來支持這些發現。
在審核開始時,審核小組對公司高階主管進行了訪談,討論了高階主管對 ISMS 實施的承諾等事項。從這些討論中獲得的證據都記錄在書面確認書中,用於確定 Rebuildy 是否符合 ISO/IEC 27001 的幾個條款。其中,發現以下不符合:
* 在公司的財務報告系統中偵測到了不當的使用者存取控制設定實例。
* 尚未建立獨立的資訊安全政策。相反,該公司使用根據最佳安全實踐起草的安全手冊。
在收到審計團隊的這些文件後,團隊負責人會見了 Rebuildy 的高層管理層,介紹了審計結果。審計小組報告了與財務報告系統和缺乏獨立資訊安全政策有關的調查結果。高階主管對調查結果表示不滿,並認為審計組長的行為不專業,暗示他們可能會要求更換組長。迫於壓力,審計組長決定與高階主管合作,淡化所發現的不符合項的重要性。因此,審計團隊負責人調整了報告以呈現更有利的觀點,從而歪曲了 Rebuildy 合規問題的真實程度。
根據上述情景,回答以下問題:
審計團隊是否遵守有關財務報告系統狀況的審計最佳實務?
- A. 不,由於該行為的非法性質,審計小組應該退出審計
- B. 不,審核小組應該聯絡認證機構並報告情況
- C. 是的,因為它超出了審計範圍
Answer: B
Explanation:
Comprehensive and Detailed In-Depth
B . Correct Answer:
The financial reporting system issue is a critical security concern, and the audit team should have reported the situation to the certification body for further action.
ISO 19011:2018 mandates auditors to escalate issues that impact compliance.
A . Incorrect:
Financial systems fall within ISMS scope if they contain sensitive data-it is not beyond the scope.
C . Incorrect:
Withdrawal is unnecessary unless legal violations prevent an effective audit.
Relevant Standard Reference:
NEW QUESTION # 298
......
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