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PECB ISO-IEC-27001-Lead-Auditor 中文 Exam Syllabus Topics:
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Reference: https://pecb.com/pdf/candidate-handbooks/pecb-candidate-handbook-iso-27001-lead-auditor-mc.pdf
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PECB Certified ISO/IEC 27001 Lead Auditor exam (ISO-IEC-27001-Lead-Auditor中文版) Sample Questions:
您是 ISMS 審計團隊負責人,負責在客戶的資料中心進行後續審計。
現場兩天后,您得出結論,在促使進行後續審核的最初 12 項輕微不符合項和 1 項重大不符合項中,只有 1 項輕微不符合項仍未解決。
選擇您可以採取的動作的四個選項。
- A. 記下所取得的進展,但保持審核開放,直到所有糾正措施都被清除
- B. 建議管理審核計畫的個人就突出的不合格項所做的任何決定
- C. 與受審核方/審核客戶同意如何清除剩餘的不合格項、何時以及如何驗證其清除
- D. 建議暫停該組織的認證,因為該組織未能在商定的時間內實施商定的糾正措施和糾正措施
- E. 建議下次監督審核時處理未解決的輕微不符合項
- F. 結束後續審核,因為組織已證明其致力於清除提出的不合格項
- G. 告知受審核方您將安排線上審核來處理突出的不合格項
- H. 在一項未解決的輕微不合格項被清除後,預約另一次現場後續審核以對其進行審查
Correct Answer: B,C,E,F 🗳️
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情境八:Tessa、Malik 和 Michael 組成了一支獨立的審計團隊,成員都是安全、合規以及商業規劃和策略領域的資深專家。他們受命對大型網頁設計公司 Clastus 進行認證審計。在此之前,他們在審計工作中展現了卓越的職業道德,包括公正性和客觀性。這次,Clastus 堅信,如果他們能夠通過 ISO/IEC 27001 認證,將會在競爭中佔優勢。
審計團隊負責人Tessa擁有豐富的審計經驗,並在IT相關議題、合規和治理方面有著非常成功的從業經驗。 Malik則擁有組織規劃和風險管理的背景。他的專長在於對組織的安全控制措施及其風險承受能力進行綜合分析,從而準確地評估組織內部的風險程度。另一方面,Michael則是一位經驗豐富的專家,擅長透過遵循嚴格的標準化程序,對控制措施進行實際的安全評估。
在完成必要的審計工作後,Tessa召集了審計團隊會議。他們分析了Michael的一項發現,以客觀準確地做出決定。 Michael發現的問題是公司日常營運中一個輕微的不合規之處,他認為這是公司一位IT技術人員造成的。因此,在高階主管詢問相關負責人姓名後,Tessa與他們會面,並告知了他們誰是該不合規之處的責任人。為了確保清晰明了,Tessa在審計的最後一天召開了總結會議。
在這次會議上,她向Clastus管理層報告了已發現的不符合項。然而,Tessa得到的建議是,在Clastus認證審核的審查報告中,應避免提供不必要的證據,以確保報告簡潔明了,重點突出關鍵發現。
根據審查的證據,審計團隊起草了審計結論,並決定在授予認證之前,必須對組織的兩個領域進行審計。這些決定隨後提交給了受審計方,但受審計方不接受審計結果,並提出提供補充資訊。儘管受審計方提出了意見,但審計人員由於已決定授予認證,因此拒絕接受補充資訊。受審計方的高階主管堅持審計結論與實際情況不符,但審計團隊堅持己見。
根據以上情景,回答以下問題:
問題:
審核團隊沒有接受Clastus提供的補充訊息,因為他們已經提出了認證建議。這種做法可以接受嗎?
- A. 是的,一旦審核團隊確定了認證建議,他們就不能再接受任何補充資訊。
- B. 不,審計師不應在認證建議決定中考慮與受審計方討論後產生的修訂。
- C. 不,如果受審核方不同意認證建議,可以提供補充資料。
Correct Answer: C 🗳️
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一家電信公司使用 AES 方法來確保機密資訊受到保護。
這意味著他們使用單一密鑰來加密和
解密資訊。公司使用什麼樣的控制?
- A. 修正
- B. 預防性
- C. 偵探
Correct Answer: B 🗳️
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場景 9:Techmanic 是一家比利時公司,成立於 1995 年,目前在布魯塞爾運作。該公司提供 IT 諮詢、軟體設計以及軟體硬體服務,包括部署和維護。其服務業涵蓋公共服務、金融、電信、能源、醫療保健和教育等領域。作為一家以客戶為中心的公司,Techmanic 重視與客戶建立牢固的關係,並致力於採用領先的安全實踐。
Techmanic 已獲得 ISO/IEC 27001 認證一年,並對此認證引以為傲。在認證審核期間,審核員發現其資訊安全管理系統 (ISMS) 的實施存在一些不一致之處。由於發現的問題並未影響其 ISMS 實現預期結果的能力,因此在審核員遠端跟進根本原因分析和糾正措施後,Techmanic 獲得了認證。同年,該公司在其服務清單中新增了主機託管服務,並申請擴大認證範圍以涵蓋該領域。負責審核的審核員批准了該申請,並通知 Techmanic 將在監督審核期間進行擴展審核。 Techmanic 接受了監督審核,以驗證其 ISMS 的持續有效性以及是否符合 ISO/IEC 27001 標準。此次監督審核旨在確保 Techmanic 的安全實踐(包括最近新增的主機託管服務)與認證的嚴格要求無縫銜接。審核員在重新認證過程中巧妙地利用了先前監督審核報告中的發現,旨在避免進行額外的重新認證審核,尤其是在 IT 諮詢領域。認識到持續改進的價值,並從過去的評估中吸取經驗教訓。
Techmanic實施了一項審查以往監督審計報告的慣例。這種積極主動的做法不僅有助於識別和解決潛在的不符合項,而且旨在簡化IT諮詢行業的重新認證流程。
在監督審核過程中,發現了一些不符合項。資訊安全管理系統(ISMS)持續符合ISO/IEC標準。
Techmanic公司雖然符合ISO/IEC 27001*標準的要求,但其內部稽核員報告稱,該公司未能解決與託管服務相關的不符合項。此外,內部稽核報告存在多處不一致之處,令人質疑內部稽核員在託管服務稽核過程中的獨立性。基於此,Techmanic公司未獲得擴展認證。因此,該公司申請轉至其他認證機構。同時,該公司向客戶發布聲明稱,ISO/IEC 27001認證涵蓋其IT服務以及託管服務。
根據以上情景,回答以下問題:
問題:
內部稽核員是否負責跟進外部稽核產生的行動計畫?
- A. 不,內部稽核員應跟進僅因內部稽核發現的不符合項而提交的行動計畫。
- B. 是的,內部稽核師應跟進內部和外部審計期間提交的行動計畫。
- C. 是的,僅當外部審核期間發現輕微不符合項時才需要。
Correct Answer: A 🗳️
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您會在某些實體資產上看到藍色貼紙。這意味著什麼?
- A. 資產非常關鍵,其故障將影響組織中小組/專案的工作
- B. 資產非常重要,其故障會影響整個組織
- C. 資產至關重要,影響力僅限於員工
- D. 帶有藍色貼紙的資產應始終保持空調狀態
Correct Answer: A 🗳️
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