[2025年04月04日]ISO-IEC-27001-Lead-Auditor-CN練習試験問題集で試験99%合格率があります [Q27-Q48]

[2025年04月04日]ISO-IEC-27001-Lead-Auditor-CN練習試験問題集で試験99%合格率があります

最新の検証済みISO-IEC-27001-Lead-Auditor-CN問題と解答、合格保証もしくは全額返金

質問 # 27
您正在一家提供醫療保健服務的住宅療養院進行 ISMS 審核。審核計畫的下一步是驗證適用性聲明 (SoA) 是否包含必要的控制措施。
您查看最新的 SoA（版本 5）文檔，對原始程式碼 (A.8.4) 的存取控制進行採樣，並想了解組織如何保護從外包軟體開發人員收到的 ABC 醫療保健行動應用程式原始程式碼。
IT 安全經理解釋說，收到的原始程式碼將被檢查到 SCM 系統中，以確保其完整性和安全性。只有授權使用者才能查看軟體並進行更新。
系統會自動記錄入住和退房活動。版本控制由系統自動管理。
您在 SCM 上總共發現了 10 個使用者帳戶。他們全部來自IT部門。您進一步與人力資源經理核實，並確認其中一位用戶 Scott 已於 9 個月前辭職。 SCM 系統管理員確認 Scott 最後一次檢出原始碼是在 1 個月前。他正在安全區域使用本機網路的授權桌面之一。
您檢查了使用者登出程序，其中規定「管理人員必須確保在辭職批准後立即從相關ICT系統和/或設備註銷使用者帳戶和授權」。用戶Scott沒有註銷記錄。
IT 安全經理解釋說，Scott 是一位非常優秀的軟體工程師、前同事和朋友。
辭職後，他仍然每月回到辦公室提供原始碼維護支援。這就是為什麼他在 SCM 上的帳戶仍然存在。 「我們很了解 Scott，他在加入我們時通過了我們所有的背景調查。因此，我們認為沒有必要僅僅因為他現在是外部提供者而與他同意任何進一步的資訊安全要求」。
您準備審計結果。選出三個正確選項。

• A. 存在不合格項 (NC)。該組織的存取控制安排未能有效運行，因為不再受該組織僱用的個人被允許訪問療養院的 ICT 系統。這不符合控制措施 A.5.15。
• B. 存在不合格項 (NC)。 SCM 將自動記錄原始碼簽入/簽出活動。如果出現問題，團隊可能無法追蹤。這不符合第 9.1 條和控制措施 A.8.4。
• C. 存在不合格項 (NC)。操作程序沒有很好的記錄。這使得 SCM 系統管理員無法立即刪除使用者帳戶。這不符合第 9.1 條和控制措施 A.5.37。
• D. 存在不合格項 (NC)。 IT 安全經理未確保 Scott 的使用者帳戶已從 SCM 中刪除，且在離職後未完成使用者登出流程。
  這不符合第 9.1 條和控制措施 A.5.15。
• E. 存在不合格項 (NC)。該組織未能識別與斯科特的帳戶保持開放相關的安全風險，因為他每月只重新使用很短一段時間。這不符合第 8.2 條的規定。
• F. 存在不合格項 (NC)。斯科特應該被告知與他與療養院的新關係（外部提供者）相關的適用資訊安全要求。然而，IT 安全經理證實這並沒有發生。這不符合控制措施 A.5.20。
• G. 存在不合格項 (NC)。該組織沒有記錄程序來規定如何使用系統工具來提供原始程式碼的存取和版本控制。這不符合第 9.1 條和控制措施 A.8.4。
• H. 存在不合格項 (NC)。 SCM是開源系統軟體。它不安全，不能用於原始碼的存取和版本控制。這不符合第 9.1 條和控制措施 A.8.4。

正解：A、D、E

解説：
The correct options are:
* There is a nonconformity (NC). The organisation's access control arrangements are not operating effectively as an individual who is no longer employed by the organisation is being permitted to access the nursing home's ICT systems. This does not conform with control A.5.15. (B): This option is correct because control A.5.15 requires the organization to implement secure log-on procedures and manage user access rights. The organization should ensure that only authorized users can access the ICT systems and that the access rights are revoked or modified when the user status changes. The fact that Scott, who resigned 9 months ago, still has an active account on the SCM and can check out the source code, indicates a failure of the access control arrangements and a nonconformity with the control A.5.15.
* There is a nonconformity (NC). The IT Security manager did not make sure the user account for Scott was removed from the SCM and did not complete the user deregistration process after the resignation. This does not conform with clause 9.1 and control A.5.15. : This option is correct because clause 9.1 requires the organization to monitor, measure, analyze, and evaluate the performance and effectiveness of the ISMS. The organization should have processes and indicators to verify that the ISMS requirements and objectives are met and that the ISMS is continually improved.
The organization should also ensure that the results of the monitoring and measurement are documented and communicated. The fact that the IT Security manager did not follow the user de-registration procedure and did not document or communicate the exception for Scott, indicates a failure of the monitoring and measurement processes and a nonconformity with clause 9.1 and control A.5.15.
* There is a nonconformity (NC). The organisation has failed to identify the security risks associated with leaving Scott's account open when he was only re-engaged for a short period monthly. This does not conform with clause 8.2. (F): This option is correct because clause 8.2 requires the organization to establish and maintain an information security risk management process.
The organization should identify the information security risks, analyze and evaluate the risks, and treat the risks according to the risk criteria and the risk treatment options. The organization should also monitor and review the risks and the risk treatment plan periodically and document the results. The fact that the organization did not identify the security risks associated with Scott's access to the SCM and the source code, such as unauthorized disclosure, modification, or deletion of the information, indicates a failure of the risk management process and a nonconformity with clause 8.2.

質問 # 28
內部稽核和外部稽核有何關係？

• A. 內部審核確保在外部審核員建議組織進行認證之前實施糾正措施
• B. 內部稽核和外部稽核包含在認證週期中，確保定期監控管理體系
• C. 內部審核確保組織定期監控外部審核報告和行動計劃

正解：B

解説：
Internal audits and external audits are integral components of the certification cycle, ensuring regular monitoring of the management system. Internal audits help organizations prepare for external audits by identifying and addressing potential nonconformities, while external audits validate the compliance of the management system with ISO/IEC 27001 standards.
References: PECB ISO/IEC 27001 Lead Auditor Course Material; ISO/IEC 27001:2013, Clauses 9.2 (Internal audit) and 9.3 (Management review)

質問 # 29
情境 5：Data Grid Inc. 是一家知名公司，為整個資訊科技基礎設施提供安全服務。它提供網路安全軟體，包括端點安全、防火牆和防毒軟體。二十年來，Data Grid Inc. 透過先進的產品和服務幫助多家公司保護其網路安全。 Data Grid Inc. 在資訊和網路安全領域享有盛譽，決定獲得 ISO/IEC 27001 認證，以更好地保護其內部和客戶資產並獲得競爭優勢。
Data Grid Inc. 任命了審計團隊，該團隊同意審計任務的條款。此外，Data Grid Inc.明確了審核範圍，明確了審核標準，並建議在五天內結束審核。由於Data Grid Inc.員工人數眾多，流程複雜，審計小組拒絕了Data Grid Inc.在五天內進行審計的提議。 Data Grid Inc.堅稱他們計劃在五天內完成審核，因此雙方同意在規定的時間內進行審核。審計小組遵循基於風險的審計方法。
為了獲得主要業務流程和控制的概述，審計團隊存取了流程描述和組織圖表。他們無法對 IT 風險和控制進行更深入的分析，因為他們對 IT 基礎架構和應用程式的存取受到限制。然而，審計小組表示，Data Grid Inc. 的 ISMS 出現重大缺陷的風險很低，因為該公司的大部分流程都是自動化的。因此，他們透過詢問 Data Grid Inc. 的代表以下問題來評估 ISMS 整體上符合標準要求：
*如何定義和指派 IT 和 IT 控制的職責？
*Data Grid Inc. 如何評估控制措施是否達到了預期效果？
*Data Grid Inc. 採取了哪些控制措施來保護操作環境和資料免受惡意軟體的侵害？
*是否實施了與防火牆相關的控制？
Data Grid Inc. 的代表提供了充分且適當的證據來解決所有這些問題。
審計組長起草審計結論並向Data Grid Inc. 的最高管理階層報告。
儘管審核員推薦Data Grid Inc.進行認證，但Data Grid Inc.與認證機構之間在審核目標方面產生了誤解。 Data Grid Inc. 表示，儘管審計目標包括確定潛在改進的領域，但審計團隊並未提供此類資訊。
根據該場景，回答以下問題：
基於情境5，審核小組對ISMS進行整體評估，而不是評估每個流程的有效性和符合性。這是可以接受的嗎？

• A. 不，審核團隊應透過評估每個流程來確保 ISMS 符合標準要求
• B. 是，如果審核團隊已獲得合理的保證來幫助他們評估 ISMS 合規性
• C. 是的，由於審核完成的時間有限，審核團隊必須透過整體評估 ISMS 來獲得絕對保證

正解：B

解説：
Yes, assessing the ISMS as a whole can be acceptable if the audit team obtains reasonable assurance that the system conforms to the standard requirements. The approach taken by the audit team must still ensure that all significant aspects of the ISMS are evaluated adequately, and if this is achieved through a holistic assessment, it is considered sufficient.
References: ISO 19011:2018, Guidelines for auditing management systems

質問 # 30
分類為 ______ 的資訊或資料不需要標記。

• A. 內部
• B. 公開
• C. 機密
• D. 高度機密

正解：B

解説：
Information or data that are classified as public do not require labeling. Public information or data are those that are intended for general disclosure and have no impact on the organization's operations or reputation if disclosed. Labeling is a method of implementing classification, which is a process of structuring information according to its sensitivity and value for the organization. Labeling helps to identify the level of protection and handling required for each type of information. Information or data that are classified as internal, confidential, or highly confidential require labeling, as they contain information that is not suitable for public disclosure and may cause harm or loss to the organization if disclosed. References: : CQI & IRCA ISO 27001:
2022 Lead Auditor Course Handbook, page 34. : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 37. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 14.

質問 # 31
當組織需要確定內部稽核計畫所需的資源時，下列哪一個問題不會影響其預期結果的實現？

• A. 必要的文件資訊的可用性。
• B. 審核計畫經理可以存取資訊安全管理系統經理的能力記錄。
• C. 有能力的審核員和技術專家。
• D. 不同時區的影響。

正解：B

解説：
While competence is important for an effective ISMS, the specific competence records of the ISMS manager are less relevant when determining resources for the internal audit program. The focus should be on resources directly related to the audit process itself. Here's why the other options matter:
*A. Availability of competent auditors and technical experts: Crucial for conducting thorough audits and accurately assessing the ISMS.
*C. Availability of the necessary documented information: Essential for auditors to review policies, procedures, and records related to the ISMS.
*D. Impact of different time zones: Can affect scheduling, coordination, and communication during the audit, potentially requiring additional resources.
References:
*ISO/IEC 27001:2022, Section 9.2 (Internal Audit): Emphasizes the need for competent auditors and emphasizes planning the audit program.
*PECB Candidate Handbook, ISO/IEC 27001 Lead Auditor: Outlines the importance of having sufficient and appropriate resources for the internal audit program.

質問 # 32
您是經驗豐富的 ISMS 審核團隊負責人，目前正在使用 ISO/IEC 27001:2022 作為標準對新客戶進行第三方初始認證審核。
這是為期兩天的審核的第二天下午，您正要開始撰寫審核報告。
到目前為止，尚未發現任何不合格情況，您和您的團隊對該網站和組織的 ISMS 印象深刻。
此時，您團隊的一名成員找到您並告訴您，她無法完成對領導力和承諾的評估，因為她花了太長時間審查變革計劃。
針對此訊息，您將採取下列哪一項行動？

• A. 鑑於沒有發現任何不合格項，並且組織的整體印象良好，請在審核報告中記錄積極的認證建議。
• B. 告知受審核方和審核客戶目前無法提出積極建議。
• C. 告知受審核方需要​​終止並重新安排認證審核。
• D. 聯絡管理審核計劃的個人並尋求他們的許可，以在審核報告中記錄積極的建議。
• E. 聯絡您的總部並等待他們進一步指示如何進行。
• F. 建議客戶，如果他們準備將您的回程航班升級為頭等艙，您將在明天的空閒時間審核領導力和承諾。
• G. 向客戶道歉，並告訴他們您稍後會回來檢查領導力和承諾。
• H. 審查審核計劃和客戶可用性，以確定團隊中的其他成員是否有機會在末次會議之前接手此任務。

正解：B

解説：
Leadership and commitment is a key requirement of ISO/IEC 27001:2022, as it establishes the top management's role and responsibility in establishing, implementing, maintaining, and continually improving the ISMS. Without assessing this aspect, the audit team cannot conclude that the ISMS is effective and conforms to the standard. Therefore, the audit team leader should advise the auditee and audit client that it is not possible to make a positive recommendation at this point, and explain the reason and the implications. The audit team leader should also consult with the certification body and the audit programme manager on the next steps, such as extending the audit duration, conducting a follow-up audit, or issuing a conditional certification, depending on the certification body's policy and the audit client's agreement. References: =
* ISO/IEC 27001:2022, clause 5, Leadership
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 19, Audit Process
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 22, Audit Report
* PECB Candidate Handbook ISO 27001 Lead Auditor, page 23, Audit Conclusion and Recommendation

質問 # 33
情境 8：EsBank 自 9 月起為愛沙尼亞銀行業提供銀行和金融解決方案
2010年，該公司在全國擁有30家分行和100多台ATM機。
EsBank 在高度監管的行業中運營，必須遵守許多有關資料安全和隱私的法律和法規。他們需要透過實施技術和非技術控制來管理整個營運的資訊安全。 EsBank 決定實施基於 ISO/IEC 的 ISMS
27001，因為它提供了更好的安全性、更多的風險控制以及符合法律法規的關鍵要求。
在成功實施 ISMS 九個月後，EsBank 決定由獨立認證機構根據 ISO/IEC 27001 對其 ISMS 進行認證。
第一階段和第二階段審核是共同進行的，發現了一些不符合項。第一個不合格之處與 EsBank 的資訊標籤有關。該公司有資訊分類方案，但沒有資訊標籤程序。因此，需要相同保護等級的文件將被貼上不同的標籤（有時為機密，有時為敏感）。
考慮到所有文件也以電子方式存儲，不合格情況也影響了媒體處理。審計小組透過抽樣得出結論，200 個可移動媒體中有 50 個儲存了被錯誤分類為機密的敏感資訊。根據資訊分類方案，允許將機密資訊儲存在可移動媒體中，而嚴格禁止儲存敏感資訊。這標誌著另一個不合格之處。
他們起草了不合格報告，並與 EsBank 代表討論了審計結論，代表同意在兩個月內針對發現的不合格問題提交行動計劃。
EsBank 接受了審計組組長提出的解決方案。他們根據實體和電子格式的分類方案起草了資訊標籤程序，解決了不合格問題。可移動媒體程式也基於此程式進行了更新。
審計完成兩週後，EsBank 提交了總體行動計畫。在那裡，他們解決了檢測到的不合格問題以及採取的糾正措施，但沒有包括有關受影響的系統、控製或操作的任何詳細資訊。審核小組評估了該行動計劃並得出結論，該計劃將解決不合格問題。然而，EsBank 收到了不利的認證建議。
根據上述場景，回答以下問題：
場景 8 所示的哪一種行為在外部審計中是不可接受的？

• A. 缺乏資訊標籤程序標示為輕微不合格
• B. 第一階段審核與第二階段審核同時進行
• C. 審核組長提出了解決不符合項的具體解決方案

正解：C

解説：
The audit team leader suggesting a specific solution on resolving the nonconformities is unacceptable in an external audit. This could compromise the impartiality of the audit process by appearing to assist the auditee in corrective actions, which should independently originate from the auditee to ensure the integrity and effectiveness of the ISMS.

質問 # 34
當審核團隊的另一位成員向您尋求澄清時，您正在進行第三方監督審核。他們被要求評估組織對控制 5.7 - 威脅情報的應用。他們知道這是 2022 年版 ISO/IEC 中引入的新控制措施之一
27001，他們希望確保正確審核控制。
他們準備了一份清單來協助他們進行審核，並希望您確認他們計劃的活動符合控制要求。
下列哪三個選項代表有效的審計追蹤？

• A. 我將檢視組織的威脅情報流程，並確保對此進行完整記錄
• B. 我將與高階主管交談，以確保所有員工都意識到報告威脅的重要性
• C. 我將回顧如何收集和評估與資訊安全威脅相關的資訊以產生威脅情報
• D. 我將確保組織的風險評估流程從有效的威脅情報開始
• E. 我將確定在威脅情報的生成中是否使用內部和外部資訊來源
• F. 我將確保將產生威脅情報的任務分配給組織的內部稽核團隊
• G. 我將確保採取適當措施，向最高管理階層通報目前威脅情報安排的有效性
• H. 我將檢查是否積極使用威脅情報來保護組織資訊資產的機密性、完整性和可用性

正解：A、E、H

解説：
According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), control 5.7 requires an organization to establish and maintain a threat intelligence process to identify and evaluate information security threats that are relevant to its ISMS scope and objectives1. The organization should use internal and external sources of information, such as vulnerability databases, threat feeds, industry reports, etc., to produce threat intelligence that can be used to support risk assessment and treatment, as well as other information security activities1. Therefore, when auditing the organization's application of control 5.7, an ISMS auditor should verify that these aspects are met in accordance with the audit criteria.
Three options that represent valid audit trails for verifying control 5.7 are:
* I will review the organisation's threat intelligence process and will ensure that this is fully documented:
This option is valid because it can provide evidence of how the organization has established and maintained a threat intelligence process that is consistent with its ISMS scope and objectives. It can also verify that the process is documented according to clause 7.5 of ISO/IEC 27001:20221.
* I will check that threat intelligence is actively used to protect the confidentiality, integrity and availability of the organisation's information assets: This option is valid because it can provide evidence of how the organization has used threat intelligence to support its risk assessment and treatment, as well as other information security activities, such as incident response, awareness, or monitoring. It can also verify that the organization has achieved its information security objectives according to clause 6.2 of ISO/IEC 27001:20221.
* I will determine whether internal and external sources of information are used in the production of threat intelligence: This option is valid because it can provide evidence of how the organization has used various sources of information, such as vulnerability databases, threat feeds, industry reports, etc., to produce threat intelligence that is relevant and reliable. It can also verify that the organization has complied with the requirement of control 5.7 of ISO/IEC 27001:20221.
The other options are not valid audit trails for verifying control 5.7, as they are not related to the control or its requirements. For example:
* I will speak to top management to make sure all staff are aware of the importance of reporting threats:
This option is not valid because it does not provide evidence of how the organization has established and maintained a threat intelligence process or used threat intelligence to support its ISMS activities. It may be related to another control or requirement regarding information security awareness or communication, but not specifically to control 5.7.
* I will ensure that the task of producing threat intelligence is assigned to the organisation s internal audit team: This option is not valid because it does not provide evidence of how the organization has established and maintained a threat intelligence process or used threat intelligence to support its ISMS activities. It may also contradict the requirement for auditor independence and objectivity, as recommended by ISO 19011:20182, which provides guidelines for auditing management systems.
* I will ensure that the organisation's risk assessment process begins with effective threat intelligence:
This option is not valid because it does not provide evidence of how the organization has established and maintained a threat intelligence process or used threat intelligence to support its ISMS activities. It may also imply a prescriptive approach to risk assessment that is not consistent with ISO/IEC 27005:
20183, which provides guidelines for information security risk management.
* I will review how information relating to information security threats is collected and evaluated to produce threat intelligence: This option is not valid because it does not provide evidence of how the organization has established and maintained a threat intelligence process or used threat intelligence to support its ISMS activities. It may also be too vague or broad to be an effective audit trail, as it does not specify what criteria or methods are used for collecting and evaluating information.
* I will ensure that appropriate measures have been introduced to inform top management as to the effectiveness of current threat intelligence arrangements: This option is not valid because it does not provide evidence of how the organization has established and maintained a threat intelligence process or used threat intelligence to support its ISMS activities. It may be related to another control or requirement regarding management review or performance evaluation, but not specifically to control
5.7.
References: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, ISO 19011:2018 - Guidelines for auditing management systems, ISO
/IEC 27005:2018 - Information technology - Security techniques - Information security risk management

質問 # 35
情境 6：Sinvestment 是一家提供家庭保險、商業保險和人壽保險的保險公司。該公司成立於北卡羅來納州，但最近在其他地區進行了擴張，包括歐洲和非洲。
Sinvestment 致力於遵守適用於其行業的法律法規，並防止任何資訊安全事件。他們實施了基於 ISO/IEC 27001 的 ISMS 並申請了 ISO/IEC 27001 認證。
認證機構指派兩名審核員進行審核。與Sinvestment簽訂保密協議後。他們開始了審計活動。首先，他們審查了標準要求的文件，包括 ISMS 範圍聲明、資訊安全政策和內部稽核報告。審查過程並不容易，因為儘管 Sinvestment 表示他們已製定文件程序，但並非所有文件都具有相同的格式。
隨後，審計小組對Sinvestment的高階主管進行了多次訪談，以了解他們在ISMS實施中的作用。第一階段審計的所有活動都是遠端進行的，除了根據 Sinvestment 的要求在現場進行的文件資訊審查之外。
在此階段，審計人員發現沒有與資訊安全培訓和意識計劃相關的文件。被問及時，Sinvestment代表表示，公司已為所有員工提供資訊安全培訓課程。第一階段審計讓審計團隊對 Sinvestment 的營運和 ISMS 有了整體了解。
第二階段審核在第一階段審核三週後進行。審計小組觀察到，行銷部門（未包含在審計範圍內）沒有適當的程序來控制員工的存取權限。由於控制員工的存取權限是ISO/IEC 27001的要求之一，並且已包含在公司的資訊安全政策中，因此該問題包含在審計報告中。此外，在第二階段審計中，審計小組觀察到Sinvestment沒有記錄使用者活動日誌。
該公司的程序規定“記錄用戶活動的日誌應保留並定期審查”，但該公司沒有提供任何執行該程序的證據。
在所有審核活動中，審核員透過觀察、訪談、文件化資訊審查、分析和技術驗證來收集資訊和證據。對第一階段和第二階段的所有審核結果進行了分析，審核小組決定發布積極的認證建議。
在第一階段審核中，審核小組發現Sinvestment沒有資訊安全訓練和意識的記錄。在這種情況下，Sinvestment 會做什麼？請參閱場景 6。

• A. 在第 2 階段審核之前修正已識別的問題
• B. 記錄已識別的問題並在認證審核完成後進行更正
• C. 執行新的風險評估流程以了解問題是否需要修改

正解：A

解説：
Sinvestment should correct the identified issue related to the lack of documentation on information security training and awareness before the stage 2 audit. Addressing this gap promptly ensures that the ISMS is fully compliant and effective when assessed in the subsequent audit stage.
References: ISO/IEC 27001:2013, Clause 7.2 (Competence)

質問 # 36
您是一位經驗豐富的 ISMS 審核團隊領導，為審核員提供培訓指導。他們對風險流程的理解不清楚，並要求您向他們提供下面詳細介紹的每個流程的範例。
將提供的每項描述與下列風險管理流程之一相符。
要填寫表格，請按一下要填寫的空白部分，使其以紅色突出顯示，然後從下面的選項中按一下適用的文字。或者，您可以將每個選項拖曳到適當的空白部分。

正解：

解説：

Explanation:

* Risk analysis is the process by which the nature of the risk is determined along with its probability and impact. Risk analysis involves estimating the likelihood and consequences of potential events or situations that could affect the organization's information security objectives or requirements12. Risk analysis could use qualitative or quantitative methods, or a combination of both12.
* Risk management is the process by which a risk is controlled at all stages of its life cycle by means of the application of organisational policies, procedures and practices. Risk management involves establishing the context, identifying, analyzing, evaluating, treating, monitoring, and reviewing the risks that could affect the organization's information security performance or compliance12. Risk management aims to ensure that risks are identified and treated in a timely and effective manner, and that opportunities for improvement are exploited12.
* Risk identification is the process by which a risk is recognised and described. Risk identification involves identifying and documenting the sources, causes, events, scenarios, and potential impacts of risks that could affect the organization's information security objectives or requirements12. Risk identification could use various techniques, such as brainstorming, interviews, checklists, surveys, or historical data12.
* Risk evaluation is the process by which the impact and/or probability of a risk is compared against risk criteria to determine if it is tolerable. Risk evaluation involves comparing the results of risk analysis with predefined criteria that reflect the organization's risk appetite, tolerance, or acceptance12. Risk evaluation could use various methods, such as ranking, scoring, or matrix12. Risk evaluation helps to prioritize and decide on the appropriate risk treatment options12.
* Risk mitigation is the process by which the impact and/or probability of a risk is reduced by means of the application of controls. Risk mitigation involves selecting and implementing measures that are designed to prevent, reduce, transfer, or accept risks that could affect the organization's information security objectives or requirements12. Risk mitigation could include various types of controls, such as technical, organizational, legal, or physical12. Risk mitigation should be based on a cost-benefit analysis and a residual risk assessment12.
* Risk transfer is the process by which a risk is passed to a third party, for example through obtaining appropriate insurance. Risk transfer involves sharing or shifting some or all of the responsibility or liability for a risk to another party that has more capacity or capability to manage it12. Risk transfer could include various methods, such as contracts, agreements, partnerships, outsourcing, or insurance12. Risk transfer should not be used as a substitute for effective risk management within the organization12.
References :=
* ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements
* ISO/IEC 27005:2022 Information technology - Security techniques - Information security risk management

質問 # 37
選擇最能描述如何進行資訊安全管理系統審核的選項：

• A. 審計目標應用於評估審計證據，以得出審計結論。然後，應建立審核結果並在末次會議上提交給審核客戶。
• B. 應使用審核標準來評估間接證據，以產生審核結果。
  然後，應建立審核報告並在審核組會議上提交給審核組。
• C. 應使用審核標準來評估客觀證據，以產生審核結果。然後，應建立審核報告並在末次會議上提交給審核組組長。
• D. 應使用審核方法來評估審核證據，以產生審核建議。
  然後，應建立審核建議並在末次會議上提交給受審核方。
• E. 審計目標應用於評估客觀證據，以得出審計結論。
  然後，應建立審計建議並在管理審查時提交給最高管理層。
• F. 應使用審核方法來評估客觀證據，以得出審核結果。然後，應制定審核結論並在末次會議上提交給受審核方。

正解：F

解説：
The option that best describes how Information Security Management System (ISMS) audits should be conducted, aligning with best practices and standards like ISO/IEC 27001:2022, is:
D: Audit methods should be used to assess objective evidence in order to generate audit findings. Then, the audit conclusion should be created and presented to the auditee at the closing meeting.
This option accurately reflects the audit process, emphasizing the use of systematic audit methods to assess objective evidence, which is crucial for impartiality and accuracy in auditing. Audit findings are the results derived from evaluating the objective evidence against the audit criteria. The conclusion, based on the audit findings, provides a comprehensive summary of the audit's outcomes, indicating whether the audited ISMS meets the established criteria. Presenting these conclusions to the auditee during the closing meeting ensures transparency and provides an opportunity for immediate clarification and discussion of the results and potential next steps.

質問 # 38
以下是資訊的定義，但以下情況除外：

• A. 用於特定目的的特定且有組織的數據
• B. 可以促進理解並減少不確定性
• C. 準確及時的數據
• D. 成熟且可衡量的數據

正解：D

解説：
The definition of information that is not correct is C: mature and measurable data. This is not a valid definition of information, as information does not have to be mature or measurable to be considered as such.
Information can be any data that has meaning or value for someone or something in a certain context.
Information can be subjective, qualitative, incomplete or uncertain, depending on how it is interpreted or used. Mature and measurable data are characteristics that may apply to some types of information, but not all.
The other definitions of information are correct, as they describe different aspects of information, such as accuracy and timeliness (A), specificity and organization (B), and understanding and uncertainty reduction (D). ISO/IEC 27001:2022 defines information as "any data that has meaning" (see clause
3.25). 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?

質問 # 39
審核員能力是知識和技能的結合。下列哪兩項活動主要與「知識」相關？

• A. 遵循偏離準備清單的審核追蹤
• B. 決定如何向受審核方尋求證據
• C. 了解如何辨識發現結果
• D. 設計清單
• E. 與受審核方溝通
• F. 決定要收集哪些證據

正解：D、F

解説：
Knowledge is the understanding of facts, concepts, principles, theories and practices related to a specific subject or discipline. Skills are the ability to apply knowledge and use know-how to complete tasks and solve problems. According to ISO 19011:2018, the knowledge and skills of an auditor include the following:
* Knowledge of audit principles, procedures and methods
* Knowledge of management system standards and reference documents
* Knowledge of the organization's context, scope, processes and objectives
* Knowledge of relevant legal, regulatory and contractual requirements
* Knowledge of applicable industry, sector or technical disciplines
* Knowledge of risk management and risk-based thinking
* Skill in collecting and verifying information
* Skill in evaluating conformity and effectiveness of management systems
* Skill in reporting and communicating audit results
* Skill in managing audit activities and teams
Based on this, the activities that are predominately related to knowledge are designing a checklist and determining what evidence to gather, as they require the auditor to understand the audit criteria, scope, objectives and methods, as well as the organization's context, processes and risks. The other activities are more related to skills, as they involve applying knowledge and using know-how to perform tasks and solve problems during the audit.
References:
* ISO 19011:2018, Guidelines for auditing management systems, clauses 7.2.1, 7.2.2 and 7.2.3
* PECB Candidate Handbook - ISO 27001 Lead Auditor, pages 9-10 and 16-17
* ISO 9001 Auditing Practices Group Guidance on: Auditing Competence, pages 2-3 and 8

質問 # 40
您正在 ABC Healthcare Services 的療養院執行 ISO 27001 ISMS 監督審核。 ABC 使用由供應商 WeCare 設計和維護的醫療保健行動應用程式來監控居民的健康狀況。在審核過程中，您了解到90%的居民家庭成員每週都會透過電子郵件和簡訊定期收到WeCare的醫療器材廣告。 ABC 與 WeCare 之間的服務協議禁止供應商使用居民的個人資料。美國廣播公司已收到許多居民及其家人的投訴。
服務經理表示，這些投訴作為資訊安全事件進行了調查，發現這些投訴是合理的。
已根據不合格和糾正措施管理程序規劃並實施糾正措施。
您寫了一份不合格項“ABC 未能遵守與居民及其家庭成員的個人資料相關的資訊安全控制 A.5.34（隱私和 PII 保護）。供應商 WeCare 使用居民的個人資訊向家庭成員。”從列出的糾正和糾正措施中選擇您希望 ABC 針對不合格項採取的三個選項。

• A. ABC 要求 ISMS 顧問測試 ABC Healthcare 行動應用程式以防範網路犯罪。
• B. ABC 對所有員工進行維護資訊安全協定重要性的訓練。
• C. ABC 定期監控涉及第三方的所有適用法律和合約要求的遵守情況。
• D. ABC 停止使用 ABC Healthcare 行動應用程式。
• E. ABC 為所有供應商引入了資訊安全績效背景調查。
• F. ABC 取消與 WeCare 的服務協定。
• G. ABC 確認資訊安全控制 A.5.34 包含在適用性聲明 (SoA) 中。
• H. ABC 對 WeCare 違反合約採取法律行動。

正解：C、E、F

解説：
The three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity are:
* B. ABC cancels the service agreement with WeCare.
* E. ABC introduces background checks on information security performance for all suppliers.
* F. ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.
* B. This option is a possible correction and corrective action that ABC could take to address the nonconformity. A correction is the action taken to eliminate a detected nonconformity, while a corrective action is the action taken to eliminate the cause of a nonconformity and to prevent its recurrence1. By cancelling the service agreement with WeCare, ABC could stop the unauthorized use of residents' personal data and protect their privacy and rights. This could also prevent further complaints and legal issues from the residents and their family members. However, this option may also have some drawbacks, such as the loss of a service provider, the need to find an alternative solution, and the potential impact on the residents' well-being.
* E. This option is a possible corrective action that ABC could take to address the nonconformity. By introducing background checks on information security performance for all suppliers, ABC could ensure that they select and work with reliable and trustworthy partners who respect the confidentiality, integrity, and availability of the information they handle. This could also help ABC to comply with information security control A.15.1.1 (Information security policy for supplier relationships), which requires the organisation to agree and document information security requirements for mitigating the risks associated with supplier access to the organisation's assets2.
* F. This option is a possible corrective action that ABC could take to address the nonconformity. By periodically monitoring compliance with all applicable legislation and contractual requirements involving third parties, ABC could verify that the suppliers are fulfilling their obligations and responsibilities regarding information security. This could also help ABC to comply with information security control A.18.1.1 (Identification of applicable legislation and contractual requirements), which requires the organisation to identify, document, and keep up to date the relevant legislative, regulatory, contractual, and other requirements to which the organisation is subject3.
References:
1: ISO 27000:2018 - Information technology - Security techniques - Information security management systems - Overview and vocabulary, clause 3.9 and 3.10 2: ISO/IEC 27001:2022 - Information technology
- Security techniques - Information security management systems - Requirements, Annex A, control A.
15.1.1 3: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, Annex A, control A.18.1.1

質問 # 41
在發生資訊安全事件時，應遵守系統使用者的角色和責任，但以下情況除外：

• A. 透過服務台發現後通報可疑或已知事件
• B. 如有需要，在調查期間與調查人員合作
• C. 讓所有員工了解資訊安全事件詳細信息
• D. 必要時保留證據

正解：C

解説：
The role and responsibility that system users should not observe in the event of an information security incident is D: make the information security incident details known to all employees. This is not a proper role or responsibility for system users, as it could cause unnecessary panic, confusion or speculation among employees who are not involved in the incident response process. It could also compromise the confidentiality and integrity of the incident information, which could be sensitive or confidential in nature. Making the information security incident details known to all employees could also violate the information security policies and procedures of the organization, which may require a certain level of discretion and confidentiality when dealing with incidents. The other roles and responsibilities are correct, as they describe what system users should do in the event of an information security incident, such as reporting the incident to the Servicedesk (A), preserving evidence if necessary (B), and cooperating with investigative personnel if needed
. These roles and responsibilities help to ensure a quick, effective and orderly response to information security incidents. ISO/IEC 27001:2022 requires the organization to implement procedures for reporting and managing information security incidents (see clause A.16.1). 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 Security Incident Management?

質問 # 42
下列哪一項不屬於資訊安全攻擊類型？

• A. 技術漏洞
• B. 隱私權事件
• C. 車輛事故
• D. 法律事件

正解：C

解説：
Vehicular incidents are not a type of information security attack. A vehicular incident is an event that involves a vehicle or its driver causing damage or injury to people or property. A vehicular incident may have an impact on information security if it affects the availability or integrity of information or systems that are transported or accessed by vehicles, but it is not an intentional or malicious attack on information security.
Legal incidents are a type of information security attack that involve legal actions or disputes that may compromise the confidentiality or integrity of information or systems. Technical vulnerabilities are a type of information security attack that exploit weaknesses or flaws in software or hardware that may compromise the confidentiality, integrity, or availability of information or systems. Privacy incidents are a type of information security attack that involve unauthorized access or disclosure of personal or sensitive information that may compromise the confidentiality or integrity of information or systems. References: : CQI & IRCA ISO 27001:
2022 Lead Auditor Course Handbook, page 25. : [ISO/IEC 27001 LEAD AUDITOR - PECB], page 13.

質問 # 43
選出最能完成句子的單字：

正解：

解説：

Explanation:
A third-party audit is an independent assessment of an organisation's management system by an external auditor, who is not affiliated with the organisation or its customers. The auditor verifies that the management system meets the requirements of a specific standard, such as ISO 27001, and evaluates its effectiveness and performance. The auditor also identifies any strengths, weaknesses, opportunities, or risks of the management system, and provides recommendations for improvement. The purpose of a third-party audit is to provide an objective and impartial evaluation of the organisation's management system, and to inform a certification decision by a certification body. A certification body is an organisation that grants a certificate of conformity to the organisation, after reviewing the audit report and evidence, and confirming that the management system meets the certification criteria. A certification decision is the outcome of the certification process, which can be positive (granting, maintaining, renewing, or expanding the scope of certification) or negative (suspending, withdrawing, or reducing the scope of certification). References:
* PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-25
* ISO 19011:2018 - Guidelines for auditing management systems
* The ISO 27001 audit process | ISMS.online

質問 # 44
您正在一家名為 ABC 的提供醫療保健服務的住宅療養院進行 ISMS 審核。
審核計劃的下一步是驗證 ABC 醫療保健行動應用程式開發、支援和生命週期流程的資訊安全性。在審核過程中，您了解到該組織將行動應用程式開發外包給了一家具有 CMMI 5 級、ITSM（ISO
/IEC
20000-1)、BCMS (ISO 22301) 和 ISMS (ISO/IEC 27001) 認證。 IT經理介紹了軟體安全管理流程，並將流程總結如下：
行動應用程式開發至少應採用「設計安全」和「預設安全」原則。應具備以下個人資料保護安全功能：
存取控制。
個人資料加密，即高階加密標準（AES）演算法，金鑰長度：256位元；個人資料假名化。
已檢查漏洞，無安全後門
您可以獲得最新的行動應用測試報告樣本 - 詳細資訊如下：

您詢問 IT 經理，為什麼組織仍在使用行動應用程序，而個人資料加密和假名化測試卻失敗了。此外，服務經理是否有權批准測試。
IT經理解釋說，根據軟體安全管理程序，測試結果應由他批准。加密和假名功能失敗的原因是這些功能嚴重降低了系統和服務效能。額外的
需要 150% 的資源來實現這一點。服務經理同意存取控制足夠好並且可以接受。這就是服務經理簽署批准書的原因。
您對醫務人員的手機進行採樣，發現 ABC 的醫療保健行動應用程式版本
1.01 已安裝。你發現1.01版本沒有測試記錄。
IT經理解釋說，由於勒索軟體攻擊頻繁，外包行動應用開發公司對受測軟體進行了免費小幅更新，並對更新後的軟體進行了緊急發布，並口頭保證不會對安全造成任何影響。以他20年的資訊安全經驗來看，沒有必要重新測試。
您正在準備審核結果 請選擇兩個正確的選項。

• A. 存在不合格項 (NC)。組織不控制計劃的變更並審查非預期變更的後果。 （與第8.1條相關）
• B. 不存在不合格項 (NC)。 IT 經理證明他完全有能力。 （與第7.2條相關）
• C. 還有改進的機會 (OI)。該組織根據其提供的免費服務的範圍選擇外部服務提供者。 （與第 8.1 條相關，控制措施 A.5.21）
• D. 不存在不合格項 (NC)。 IT 經理展現了良好的領導能力。 （與條款相關
  5.1，控制5.4）
• E. 還有改進的機會 (OI)。 IT 經理應根據適當的測試做出是否繼續提供服務的決定。 （與第 8.1 條相關，控制措施 A.8.30）
• F. 存在不合格項 (NC)。 IT。管理者不遵守軟體安全管理程序。 （與第 8.1 條相關，控制措施 A.8.30）

正解：A、F

解説：
According to ISO/IEC 27001, organizations must control planned changes and review the consequences of unintended changes in order to ensure continued alignment with information security requirements. In this scenario, the organization failed to perform appropriate testing after an emergency update to the mobile app, which constitutes a nonconformity with clause 8.1 of the standard.
**References**:
- ISO/IEC 27001 Lead Auditor Reference Materials
- PECB Candidate Handbook for ISO 27001 Lead Auditor
ISO/IEC 27001 requires that organizations adhere to their established procedures for software security management. The IT Manager's approval of the app despite failed security tests and lack of proper documentation for the new version indicates noncompliance with the procedure, thus reflecting a nonconformity.
**References**:
- ISO/IEC 27001 Lead Auditor Reference Materials
- PECB Candidate Handbook for ISO 27001 Lead Auditor

質問 # 45
情境 6：Sinvestment 是一家提供家庭保險、商業保險和人壽保險的保險公司。該公司成立於北卡羅來納州，但最近在其他地區進行了擴張，包括歐洲和非洲。
Sinvestment 致力於遵守適用於其行業的法律法規，並防止任何資訊安全事件。他們實施了基於 ISO/IEC 27001 的 ISMS 並申請了 ISO/IEC 27001 認證。
認證機構指派兩名審核員進行審核。與Sinvestment簽訂保密協議後。他們開始了審計活動。首先，他們審查了標準要求的文件，包括 ISMS 範圍聲明、資訊安全政策和內部稽核報告。審查過程並不容易，因為儘管 Sinvestment 表示他們已製定文件程序，但並非所有文件都具有相同的格式。
隨後，審計小組對Sinvestment的高階主管進行了多次訪談，以了解他們在ISMS實施中的作用。第一階段審計的所有活動都是遠端進行的，除了根據 Sinvestment 的要求在現場進行的文件資訊審查之外。
在此階段，審計人員發現沒有與資訊安全培訓和意識計劃相關的文件。被問及時，Sinvestment代表表示，公司已為所有員工提供資訊安全培訓課程。第一階段審計讓審計團隊對 Sinvestment 的營運和 ISMS 有了整體了解。
第二階段審核在第一階段審核三週後進行。審計小組觀察到，行銷部門（未包含在審計範圍內）沒有適當的程序來控制員工的存取權限。由於控制員工的存取權限是ISO/IEC 27001的要求之一，並且已包含在公司的資訊安全政策中，因此該問題包含在審計報告中。此外，在第二階段審計中，審計小組觀察到Sinvestment沒有記錄使用者活動日誌。
該公司的程序規定“記錄用戶活動的日誌應保留並定期審查”，但該公司沒有提供任何執行該程序的證據。
在所有審核活動中，審核員透過觀察、訪談、文件化資訊審查、分析和技術驗證來收集資訊和證據。對第一階段和第二階段的所有審核結果進行了分析，審核小組決定發布積極的認證建議。
根據ISO/IEC 27001要求，公司是否需要提供執行有關記錄使用者活動的日誌程式的證據？請參閱場景 6。

• A. 否，本公司僅建議實施此程序
• B. 否，因為該流程的實施不是標準的要求
• C. 是的，記錄使用者活動的事件日誌必須保存並定期審查

正解：C

解説：
Yes, according to ISO/IEC 27001, the company needs to provide evidence of the implementation of procedures regarding the logging of user activities. This requirement is essential to ensure that events are recorded and regularly reviewed, supporting the detection and prevention of security incidents.
References: ISO/IEC 27001:2013, Clause A.12.4 (Logging and monitoring)

質問 # 46
您正在作為審核組組長進行首次第三方 ISMS 監督審核。您目前與審核團隊的另一位成員以及組織的指南一起位於受審核方的資料中心。
您要求進入受密碼鎖和虹膜掃描器保護的上鎖房間。房間角落的桌子上堆放著一堆硬碟。您詢問嚮導驅動器的狀態是什麼。他告訴您驅動器是多餘的並等待處置。這些車輛本應在上週被接走，但由於員工生病，該組織的安全銷毀服務外部提供者無法找到司機。他說這種情況最近變得越來越普遍，儘管他不知道為什麼。然後，他向您提供了一張工作票，確認取件已重新安排在明天。
根據上述情況，您現在會採取以下哪三項行動？

• A. 記錄結果，但請注意，無需採取進一步操作，因為取件現已重新安排。
• B. 遵循審核追蹤來確定組織是否遵守其在控制 A.5.22「供應商服務的監控、評審和變更管理」方面的義務。
• C. 確保遵守組織對設備安全處置和再利用的安排。
• D. 針對控制 A.7.5「防止物理和環境威脅」提出不符合項，因為驅動器已暴露在桌面上。
• E. 記錄外部供應商庫存管理安排的改善機會。
• F. 針對控制措施 A.7.7「清理桌面和清理螢幕」提出不符合項，因為桌面上的磁碟機未受到保護。
• G. 確保遵守組織對儲存媒體生命週期管理的安排。
• H. 記錄不符合控制 A.5.13「資訊標籤」的情況，因為磁碟機的狀態不清楚

正解：B、C、G

質問 # 47
您工作的資料中心目前正在尋求 ISO/IEC27001:2022 認證。在為您的初次認證訪問做準備時，您集團內另一個資料中心的同事已進行了多次內部審核。他們在今年稍早獲得了自己的 ISO/IEC 27001:2022 證書。
您剛剛獲得內部 ISMS 審核員資格，您的經理要求您在外部認證機構到達之前審查審核流程和審核結果，作為最終檢查。
以下哪四項會讓您擔心是否符合 ISO/IEC 27001:2022 要求？

• A. 審計報告不以硬拷貝形式（即紙本形式）保存。它們僅存儲為*。組織內部網路上的 PDF 文件。
• B. 審核計畫未考慮資訊安全流程的相對重要性。
• C. 審核計畫尚未簽署「經最高管理階層批准」。
• D. 雖然已經定義了每次內部審計的範圍，但尚未為迄今為止進行的審計定義審計標準。
• E. 審計計畫顯示一年中不定期進行的管理審查。
• F. 審計流程規定審計結果將提供給「相關」經理，而不是最高管理階層。
• G. 審核計畫未引用審核方法或審核職責。
• H. 審核程序不考慮先前審核的結果。

正解：B、D、G、H

質問 # 48
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