PECB ISO-IEC-27001-Lead-Auditor 問題集

質問 1：
The auditor discovered that two out of 15 employees of the IT Department have not received adequate information security training. What does this represent?
A. Information source
B. Audit finding
C. Audit evidence
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 2：
During discussions with the individual(s) managing the audit programme of a certification body, the Management System Representative of the client organisation asks for a specific auditor for the certification audit. Select two of the following options for how the individual(s) managing the audit programme should respond.
A. Suggest that the Management System Representative chooses another certification body
B. State that his request will be considered but may not be taken up
C. Advise the Management System Representative that the audit team selection is a decision that the audit programme manager needs to make based on the resources available
D. Advise the Management System Representative that his request can be accepted
E. Suggest asking the certification body management to permit the request
正解：B,C
解説: (Topexam メンバーにのみ表示されます)

質問 3：
You are an experienced audit team leader guiding an auditor in training.
Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the PEOPLE controls listed in the Statement of Applicability (SoA) and mplemented at the site.
Select four controls from the following that would you expect the auditor in training to review.
A. Confidentiality and nondisclosure agreements
B. How protection against malware is implemented
C. The organisation's business continuity arrangements
D. The conducting of verification checks on personnel
E. The operation of the site CCTV and door control systems
F. Information security awareness, education and training
G. Remote working arrangements
H. The organisation's arrangements for information deletion
正解：A,D,F,G
解説: (Topexam メンバーにのみ表示されます)

質問 4：
Audit methods can be either with or without interaction with individuals representing the auditee. Which two of the following methods are with interaction?
A. Analysing documents provided in advance of the audit
B. Observing work performed via live video streaming
C. Sampling (e.g. products)
D. Reviewing checklists with auditee
E. Conducting interviews
F. Checking legal compliance with local authorities
正解：D,E
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Auditors need to communicate effectively with auditees. Therefore, their personal behaviour is a key characteristic needed to ensure a successful audit. Below there are the characteristics and a brief related description. Match the characteristics to the descriptions.

正解：

Explanation:
The possible matches of the characteristics to the descriptions are:
* Tenacious: Persistent and focused on objectives
* Ethical: Fair, truthful, sincere, honest, discreet
* Diplomatic: Tactful in dealing with individuals
* Observant: Actively observing surroundings/activities
* Perceptive: Aware of and able to understand situations
* Open to improvement: Willing to learn from situations
Actively observing surroundings/activities = Observant
Fair, truthful, sincere, honest, discreet = Ethical
Persistent and focused on objectives = Tenacious
Willing to learn from situations = Open to improvement
Tactful in dealing with individuals = Diplomatic
Aware of and able to understand situations = Perceptive
These are the auditor's characteristics and their descriptions as defined by ISO 19011:2022, Clause
7.2.21. The auditor's personal behaviour is essential for building trust and confidence with the auditee and for ensuring the credibility and effectiveness of the audit12. References: 1: ISO 19011:2022, Guidelines for auditing management systems, Clause 7.2.2 \n2: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 3: Fundamental audit concepts and principles

質問 6：
You are performing an ISMS audit at a residential nursing home railed ABC that provides healthcare services.
The next step in your audit plan is to verify the effectiveness of the continual improvement process. During the audit, you learned most of the residents' family members (90%) receive WeCare medical device promotional advertisements through email and SMS once a week via ABC's healthcare mobile app. All of them do not agree on the use of the collected personal data (or marketing or any other purposes than nursing and medical care on the signed service agreement with ABC. They have very strong reason to believe that ABC is leaking residents' and family members' personal information to a non-relevant third party and they have filed complaints.
The Service Manager says that all these complaints have been treated as nonconformities, and the corrective actions have been planned and implemented according to the Nonconformity and Corrective management procedure. The corrective action involved stopping working with WeCare the medical device manufacturer immediately and asking them to delete all personal data received as well as sending an apology email to all residents and their family members.
You are preparing the audit findings. Select one option of the correct finding.
A. No nonconformity: The Service Manager implemented the corrective actions and the Customer Service Representative evaluates the effectiveness of implemented corrective actions
B. No nonconformity: I would like to collect more evidence on how the organisation defines the management system scope and see if they covered WeCare medical device manufacture
C. Nonconformity: The management review does not take the feedback from residents' family members into consideration
D. Nonconformity: ABC does not follow the signed healthcare service agreement with residents' family members
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 7：
You are performing an ISMS initial certification audit at a residential nursing home that provides healthcare services. The next step in your audit plan is to conduct the closing meeting. During the final audit team meeting, as an audit team leader, you agree to report 2 minor nonconformities and 1 opportunity for improvement as below:

Select one option of the recommendation to the audit programme manager you are going to advise to the auditee at the closing meeting.
A. Recommend that a partial audit is required within 3 months
B. Recommend certification after your approval of the proposed corrective action plan Recommend that the findings can be closed out at a surveillance audit in 1 year
C. Recommend that an unannounced audit is carried out at a future date
D. Recommend certification immediately
E. Recommend that a full scope re-audit is required within 6 months
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 8：
Scenario 2: Knight is an electronics company from Northern California, US that develops video game consoles. Knight has more than 300 employees worldwide. On the fifth anniversary of their establishment, they have decided to deliver the G-Console, a new generation video game console aimed for worldwide markets. G-Console is considered to be the ultimate media machine of 2021 which will give the best gaming experience to players.
The console pack will include a pair of VR headset, two
games, and other gifts.
Over the years, the company has developed a good reputation by showing integrity, honesty, and respect toward their customers. This good reputation is one of the reasons why most passionate gamers aim to have Knight's G-console as soon as it is released in the market.
Besides being a very customer-oriented company, Knight
also gained wide recognition within the gaming industry because of the developing quality. Their prices are a bit higher than the reasonable standards allow.
Nonetheless, that is not considered an issue for most loyal customers of Knight, as their quality is top-notch.
Being one of the top video game console developers in the world, Knight is also often the center of attention for malicious activities. The company has had an operational ISMS for over a year. The ISMS scope includes all departments of Knight, except Finance and HR departments.
Recently, a number of Knight's files containing proprietary information were leaked by hackers. Knight's incident response team (IRT) immediately started to analyze every part of the system and the details of the incident.
The IRT's first suspicion was that Knight's employees used weak passwords and consequently were easily cracked by hackers who gained unauthorized access to their accounts. However, after carefully investigating the incident, the IRT determined that hackers accessed accounts by capturing the file transfer protocol (FTP) traffic.
FTP is a network protocol for transferring files between accounts. It uses clear text passwords for authentication.
Following the impact of this information security incident and with IRT's suggestion, Knight decided to replace the FTP with Secure Shell (SSH) protocol, so anyone capturing the traffic can only see encrypted data.
Following these changes, Knight conducted a risk assessment to verify that the implementation of controls had minimized the risk of similar incidents. The results of the process were approved by the ISMS project manager who claimed that the level of risk after the implementation of new controls was in accordance with the company's risk acceptance levels.
Based on this scenario, answer the following question:
Which risk treatment option has Knight used in replacing FTP with SSH? Refer to scenario 2.
A. Risk retention
B. Risk avoidance
C. Risk modification
正解：C
解説: (Topexam メンバーにのみ表示されます)