PECB ISO-IEC-27001-Lead-Auditor 問題集

質問 1：
During an audit, the audit team leader reached timely conclusions based on logical reasoning and analysis. What professional behaviour was displayed by the audit team leader?
A. Open minded
B. Perceptive
C. Ethical
D. Decisive
正解：D
解説: (Topexam メンバーにのみ表示されます)

質問 2：
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 3：
Scenario 8: EsBank provides banking and financial solutions to the Estonian banking sector since September 2010. The company has a network of 30 branches with over 100 ATMs across the country.
Operating in a highly regulated industry, EsBank must comply with many laws and regulations regarding the security and privacy of dat a. They need to manage information security across their operations by implementing technical and nontechnical controls. EsBank decided to implement an ISMS based on ISO/IEC 27001 because it provided better security, more risk control, and compliance with key requirements of laws and regulations.
Nine months after the successful implementation of the ISMS, EsBank decided to pursue certification of their ISMS by an independent certification body against ISO/IEC 27001 .The certification audit included all of EsBank's systems, processes, and technologies.
The stage 1 and stage 2 audits were conducted jointly and several nonconformities were detected. The first nonconformity was related to EsBank's labeling of information. The company had an information classification scheme but there was no information labeling procedure. As a result, documents requiring the same level of protection would be labeled differently (sometimes as confidential, other times sensitive).
Considering that all the documents were also stored electronically, the nonconformity also impacted media handling. The audit team used sampling and concluded that 50 of 200 removable media stored sensitive information mistakenly classified as confidential. According to the information classification scheme, confidential information is allowed to be stored in removable media, whereas storing sensitive information is strictly prohibited. This marked the other nonconformity.
They drafted the nonconformity report and discussed the audit conclusions with EsBank's representatives, who agreed to submit an action plan for the detected nonconformities within two months.
EsBank accepted the audit team leader's proposed solution. They resolved the nonconformities by drafting a procedure for information labeling based on the classification scheme for both physical and electronic formats. The removable media procedure was also updated based on this procedure.
Two weeks after the audit completion, EsBank submitted a general action plan. There, they addressed the detected nonconformities and the corrective actions taken, but did not include any details on systems, controls, or operations impacted. The audit team evaluated the action plan and concluded that it would resolve the nonconformities. Yet, EsBank received an unfavorable recommendation for certification.
Based on the scenario above, answer the following question:
Which option justifies the unfavorable recommendation for certification? Refer to scenario 8.
A. The unrealistic date of the submitted action plan (two weeks)
B. The major nonconformity related to storing sensitive information in removable media
C. The minor nonconformity related to the lack of information labeling procedure
正解：B

質問 4：
You are conducting an ISMS audit in the despatch department of an international logistics organisation that provides shipping services to large organisations including local hospitals and government offices. Parcels typically contain pharmaceutical products, biological samples, and documents such as passports and driving licences. You note that the company records show a very large number of returned items with causes including misaddressed labels and, in 15% of cases, two or more labels for different addresses for the one package. You are interviewing the Shipping Manager (SM).
You: Are items checked before being dispatched?
SM: Any obviously damaged items are removed by the duty staff before being dispatched, but the small profit margin makes it uneconomic to implement a formal checking process.
You: What action is taken when items are returned?
SM: Most of these contracts are relatively low value, therefore it has been decided that it is easier and more convenient to simply reprint the label and re-send individual parcels than it is to implement an investigation.
You raise a nonconformity against ISO 27001:2022 based on the lack of control of the labelling process.
At the closing meeting, the Shipping Manager issues an apology to you that his comments may have been misunderstood. He says that he did not realise that there is a background IT process that automatically checks that the right label goes onto the right parcel otherwise the parcel is ejected at labelling. He asks that you withdraw your nonconformity.
Select three options of the correct responses that you as the audit team leader would make to the request of the Shipping Manager.
A. Advise the Shipping Manager that his request will be included in the audit report
B. Ask the audit team members to state what they think should happen
C. Advise management that the new information provided will be discussed when the auditors have more time
D. Indicate that the nonconformity is evidence of a deeper system failure that needs to be rectified
E. Inform him of your understanding and withdraw the nonconformity
F. Advise the Shipping Manager that the nonconformity must stand since the evidence obtained for it was dear
G. Inform the Shipping Manager that the nonconformity is minor and should be quickly corrected
H. Thank the Shipping Manager for his honesty but advise that withdrawing the nonconformity is not the right way to proceed
正解：A,C,H
解説: (Topexam メンバーにのみ表示されます)

質問 5：
Scenario 9: Techmanic is a Belgian company founded in 1995 and currently operating in Brussels. It provides IT consultancy, software design, and hardware/software services, including deployment and maintenance. The company serves sectors like public services, finance, telecom, energy, healthcare, and education. As a customer-centered company, it prioritizes strong client relationships and leading security practices.
Techmanic has been ISO/IEC 27001 certified for a year and regards this certification with pride. During the certification audit, the auditor found some inconsistencies in its ISMS implementation. Since the observed situations did not affect the capability of its ISMS to achieve the intended results, Techmanic was certified after auditors followed up on the root cause analysis and corrective actions remotely During that year, the company added hosting to its list of services and requested to expand its certification scope to include that area The auditor in charge approved the request and notified Techmanic that the extension audit would be conducted during the surveillance audit Techmanic underwent a surveillance audit to verify its iSMS's continued effectiveness and compliance with ISO/IEC 27001. The surveillance audit aimed to ensure that Techmanic's security practices, including the recent addition of hosting services, aligned seamlessly with the rigorous requirements of the certification The auditor strategically utilized the findings from previous surveillance audit reports in the recertification activity with the purpose of replacing the need for additional recertification audits, specifically in the IT consultancy sector. Recognizing the value of continual improvement and learning from past assessments. Techmanic implemented a practice of reviewing previous surveillance audit reports. This proactive approach not only facilitated identifying and resolving potential nonconformities but also aimed to streamline the recertification process in the IT consultancy sector.
During the surveillance audit, several nonconformities were found. The ISMS continued to fulfill the ISO/IEC 27001*s requirements, but Techmanic failed to resolve the nonconformities related to the hosting services, as reported by its internal auditor. In addition, the internal audit report had several inconsistencies, which questioned the independence of the internal auditor during the audit of hosting services. Based on this, the extension certification was not granted. As a result. Techmanic requested a transfer to another certification body. In the meantime, the company released a statement to its clients stating that the ISO/IEC 27001 certification covers the IT services, as well as the hosting services.
Based on the scenario above, answer the following question:
Which of the options below does an internal audit program NOT allow?
A. Verification of the effectiveness of corrective actions
B. The reduction of manual audit tasks
C. The prevention of nonconformities
正解：C
解説: (Topexam メンバーにのみ表示されます)

質問 6：
Match the correct responsibility with each participant of a second-party audit:

正解：



質問 7：
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)

質問 8：
A key audit process is the way auditors gather information and determine the findings' characteristics. Put the actions listed in the correct order to complete this process. The last one has been done for you.

正解：