[2025年06月10日]ISO-IEC-27001-Lead-Auditor問題集完全版問題、試験学習ガイド [Q38-Q58]

[2025年06月10日]ISO-IEC-27001-Lead-Auditor問題集完全版問題、試験学習ガイド

ISO 27001無料認定試験材料JPNTestからの368問題

PECB ISO-IEC-27001-LEAD-AUDITOR（PECB認定ISO/IEC 27001 LEAD監査）試験は、情報セキュリティ管理システム（ISM）の主要および実施に関する知識と専門知識を実証したい専門家向けに設計されたグローバルに認められた認定プログラムです。 ISO/IEC 27001標準に基づく監査。この試験は、情報セキュリティ管理と監査の主要な概念、原則、およびベストプラクティス、および国際基準に従ってISMS監査を計画、実行、および報告する能力についての候補者の理解を評価するように設計されています。

PECB ISO-IEC-27001-Lead-Auditor認定試験の準備には、理論的な知識と実践的な経験の両方が必要です。候補者は、PECB認定ISO/IEC 27001リードオーディターのトレーニングコースや同等のものに参加し、関連する資料を学び、ISO/IEC 27001標準に基づくISMSの監査の実践的な経験を積むことで、試験の準備ができます。また、練習問題を使用して、自分の知識を評価し、改善が必要な領域を特定することもできます。

質問 # 38
Information has a number of reliability aspects. Reliability is constantly being threatened. Examples of threats are: a cable becomes loose, someone alters information by accident, data is used privately or is falsified.
Which of these examples is a threat to integrity?

A. private use of data
B. a loose cable
C. System restart
D. accidental alteration of data

正解：D

解説：
A threat to integrity is anything that can compromise the accuracy, completeness or authenticity of information. Accidental alteration of data is an example of such a threat, as it can cause information to be incorrect or inconsistent. A loose cable, a system restart or a private use of data are not threats to integrity, but rather to availability or confidentiality. ISO/IEC 27001:2022 defines integrity as "property of accuracy and completeness" (see clause 3.24). Reference: [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 Integrity?

質問 # 39
You are carrying out your first third-party ISMS surveillance audit as an Audit Team Leader. You are presently in the auditee's data centre with another member of your audit team.
You are currently in a large room that is subdivided into several smaller rooms, each of which has a numeric combination lock and swipe card reader on the door. You notice two external contractors using a swipe card and combination number provided by the centre's reception desk to gain access to a client's suite to carry out authorised electrical repairs.
You go to reception and ask to see the door access record for the client's suite. This indicates only one card was swiped. You ask the receptionist and they reply, "yes it's a common problem. We ask everyone to swipe their cards but with contractors especially, one tends to swipe and the rest simply 'tailgate' their way in" but we know who they are from the reception sign-in.
Based on the scenario above which one of the following actions would you now take?

A. Raise an opportunity for improvement that contractors must be accompanied at all times when accessing secure facilities
B. Raise a nonconformity against control A.7.1 'security perimiters' as a secure area is not adequately protected
C. Determine whether any additional effective arrangements are in place to verify individual access to secure areas e.g. CCTV
D. Raise an opportunity for improvement to have a large sign in reception reminding everyone requiring access must use their swipe card at all times
E. Raise a nonconformity against control A.7.6 'working in secure areas' as security measures for working in secure areas have not been defined
F. Raise a nonconformity against control A.5.20 'addressing information security in supplier relationships' as information security requirements have not been agreed upon with the supplier

正解：C

解説：
Explanation
The best action to take in this scenario is to determine whether any additional effective arrangements are in place to verify individual access to secure areas, such as CCTV. This action is consistent with the audit principle of evidence-based approach, which requires the auditor to obtain sufficient and appropriate audit evidence to support the audit findings and conclusions1. By verifying the existence and effectiveness of other security controls, the auditor can assess the extent and impact of the nonconformity observed, and determine the appropriate audit finding and recommendation.
The other options are not the best actions to take in this scenario, because they are either premature or inappropriate. For example:
*Option A is inappropriate, because it is not the auditor's role to suggest specific solutions or improvements to the auditee, but rather to report the audit findings and recommendations based on the audit criteria and objectives2. A large sign in reception may not be an effective or feasible solution to address the issue of tailgating, and it may not reflect the root cause of the problem.
*Option C is premature, because it assumes that the control A.7.1 'security perimeters' is not adequately implemented, without verifying the existence and effectiveness of other security controls that may compensate for the observed nonconformity. The auditor should not jump to conclusions based on a single observation, but rather gather sufficient and appropriate audit evidence to support the audit finding3.
*Option D is premature, because it assumes that the control A.7.6 'working in secure areas' is not adequately implemented, without verifying the existence and effectiveness of other security controls that may compensate for the observed nonconformity. The auditor should not jump to conclusions based on a single observation, but rather gather sufficient and appropriate audit evidence to support the audit finding3.
*Option E is inappropriate, because it is not related to the observed nonconformity, which is about the access control to secure areas, not the information security requirements agreed upon with the supplier. The auditor should not raise a nonconformity based on irrelevant or incorrect audit criteria4.
*Option F is inappropriate, because it is not the auditor's role to suggest specific solutions or improvements to the auditee, but rather to report the audit findings and recommendations based on the audit criteria and objectives2. Requiring contractors to be accompanied at all times when accessing secure facilities may not be an effective or feasible solution to address the issue of tailgating, and it may not reflect the root cause of the problem.
References: 1: ISO 19011:2018, 5.2; 2: ISO 19011:2018, 6.6; 3: ISO 19011:2018, 6.2; 4: ISO 19011:2018,
6.3; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018

質問 # 40
The following are purposes of Information Security, except:

A. Increase Business Assets
B. Maximize Return on Investment
C. Ensure Business Continuity
D. Minimize Business Risk

正解：A

解説：
The following are purposes of information security, except increasing business assets. Increasing business assets is not a purpose of information security, as it is not directly related to protecting information and systems from threats and risks. Information security may contribute to increasing business assets by enhancing customer trust, reputation, compliance, and efficiency, but it is not its primary goal. Ensuring business continuity is a purpose of information security, as it aims to prevent or minimize disruptions or losses caused by incidents affecting information and systems. Minimizing business risk is a purpose of information security, as it aims to identify and reduce threats and vulnerabilities that may compromise information and systems. Maximizing return on investment is a purpose of information security, as it aims to optimize the costs and benefits of implementing and maintaining information security controls and measures. References: : CQI & IRCA ISO 27001:2022 Lead Auditor Course Handbook, page 23. : [ISO/IEC
27001 Brochures | PECB], page 4.

質問 # 41
Scenario 5: Data Grid Inc. is a well-known company that delivers security services across the entire information technology infrastructure. It provides cybersecurity software, including endpoint security, firewalls, and antivirus software. For two decades, Data Grid Inc. has helped various companies secure their networks through advanced products and services. Having achieved reputation in the information and network security field, Data Grid Inc. decided to obtain the ISO/IEC 27001 certification to better secure its internal and customer assets and gain competitive advantage.
Data Grid Inc. appointed the audit team, who agreed on the terms of the audit mandate. In addition, Data Grid Inc. defined the audit scope, specified the audit criteria, and proposed to close the audit within five days. The audit team rejected Data Grid Inc.'s proposal to conduct the audit within five days, since the company has a large number of employees and complex processes. Data Grid Inc. insisted that they have planned to complete the audit within five days, so both parties agreed upon conducting the audit within the defined duration. The audit team followed a risk-based auditing approach.
To gain an overview of the main business processes and controls, the audit team accessed process descriptions and organizational charts. They were unable to perform a deeper analysis of the IT risks and controls because their access to the IT infrastructure and applications was restricted. However, the audit team stated that the risk that a significant defect could occur to Data Grid Inc.'s ISMS was low since most of the company's processes were automated. They therefore evaluated that the ISMS, as a whole, conforms to the standard requirements by asking the representatives of Data Grid Inc. the following questions:
* How are responsibilities for IT and IT controls defined and assigned?
* How does Data Grid Inc. assess whether the controls have achieved the desired results?
* What controls does Data Grid Inc. have in place to protect the operating environment and data from malicious software?
* Are firewall-related controls implemented?
Data Grid Inc.'s representatives provided sufficient and appropriate evidence to address all these questions.
The audit team leader drafted the audit conclusions and reported them to Data Grid Inc.'s top management. Though Data Grid Inc. was recommended for certification by the auditors, misunderstandings were raised between Data Grid Inc. and the certification body in regards to audit objectives. Data Grid Inc. stated that even though the audit objectives included the identification of areas for potential improvement, the audit team did not provide such information.
Based on this scenario, answer the following question:
Data Grid Inc. is responsible for all the actions below, EXCEPT:

A. Defining the audit scope
B. Appointing the audit team
C. Specifying the audit criteria

正解：B

解説：
In the context of ISO/IEC 27001 audits, the audit team is appointed by the certification body, not by the organization being audited. Data Grid Inc. is responsible for specifying the audit criteria and defining the audit scope, but not for appointing the audit team.

質問 # 42
-------------------------is an asset like other important business assets has value to an organization and consequently needs to be protected.

A. Security
B. Data
C. Infrastructure
D. Information

正解：D

解説：
Explanation
Information is an asset like other important business assets, as it has value to an organization and consequently needs to be protected. Information can be in any form, such as electronic, paper, or verbal. Information security is the protection of information from unauthorized access, use, disclosure, modification, or destruction2. References: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) | CQI | IRCA

質問 # 43
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 data. 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:
By drafting a procedure for information labeling, EsBank has:

A. Created an information classification scheme
B. Eliminated the root cause of the nonconformity
C. Submitted an action plan to resolve the nonconformity

正解：C

解説：
By drafting a procedure for information labeling, EsBank has submitted an action plan to resolve the nonconformity. This step addresses the immediate issue identified during the audit by establishing a consistent approach to labeling information according to its classification.

質問 # 44
Scenario 7: Webvue. headquartered in Japan, is a technology company specializing in the development, support, and maintenance of computer software. Webvue provides solutions across various technology fields and business sectors. Its flagship service is CloudWebvue, a comprehensive cloud computing platform offering storage, networking, and virtual computing services. Designed for both businesses and individual users. CloudWebvue is known for its flexibility, scalability, and reliability.
Webvue has decided to only include CloudWebvue in its ISO/IEC 27001 certification scope. Thus, the stage 1 and 2 audits were performed simultaneously Webvue takes pride in its strictness regarding asset confidentiality They protect the information stored in CloudWebvue by using appropriate cryptographic controls. Every piece of information of any classification level, whether for internal use. restricted, or confidential, is first encrypted with a unique corresponding hash and then stored in the cloud The audit team comprised five persons Keith. Sean. Layla, Sam. and Tin a. Keith, the most experienced auditor on the IT and information security auditing team, was the audit team leader. His responsibilities included planning the audit and managing the audit team. Sean and Layla were experienced in project planning, business analysis, and IT systems (hardware and application) Their tasks included audit planning according to Webvue's internal systems and processes Sam and Tina, on the other hand, who had recently completed their education, were responsible for completing the day-to-day tasks while developing their audit skills While verifying conformity to control 8.24 Use of cryptography of ISO/IEC 27001 Annex A through interviews with the relevant staff, the audit team found out that the cryptographic keys have been initially generated based on random bit generator (RBG) and other best practices for the generation of the cryptographic keys. After checking Webvue's cryptography policy, they concluded that the information obtained by the interviews was true. However, the cryptographic keys are still in use because the policy does not address the use and lifetime of cryptographic keys.
As later agreed upon between Webvue and the certification body, the audit team opted to conduct a virtual audit specifically focused on verifying conformity to control 8.11 Data Masking of ISO/IEC 27001 within Webvue, aligning with the certification scope and audit objectives. They examined the processes involved in protecting data within CloudWebvue. focusing on how the company adhered to its policies and regulatory standards. As part of this process. Keith, the audit team leader, took screenshot copies of relevant documents and cryptographic key management procedures to document and analyze the effectiveness of Webvue's practices.
Webvue uses generated test data for testing purposes. However, as determined by both the interview with the manager of the QA Department and the procedures used by this department, sometimes live system data are used. In such scenarios, large amounts of data are generated while producing more accurate results. The test data is protected and controlled, as verified by the simulation of the encryption process performed by Webvue's personnel during the audit While interviewing the manager of the QA Department, Keith observed that employees in the Security Training Department were not following proper procedures, even though this department fell outside the audit scope. Despite the exclusion in the audit scope, the non conformity in the Security Training Department has potential implications for the processes within the audit scope, specifically impacting data security and cryptographic practices in CloudWebvue. Therefore, Keith incorporated this finding into the audit report and accordingly informed the auditee.
Based on the scenario above, answer the following question:
To verify conformity to the protection of test data control, Webvue's personnel simulated the encryption process. Is this acceptable?

A. Yes, simulation of a process to verify conformity to a control can be done with the assistance of the auditee's personnel
B. Yes, if the auditor is not competent to perform the operations linked to a test, a representative of the auditee may have the role of a technical expert
C. No, the encryption process must not be simulated since it affects the auditee's operations

正解：A

解説：
ISO 19011:2018 (Audit Guidelines) allows process simulations to verify control effectiveness.
Webvue's personnel conducted the test under audit supervision, ensuring realistic evaluation without operational disruption.
A: Incorrect:
Simulations are valid audit techniques and do not negatively impact operations if performed properly.
B: Incorrect:
Technical experts assist auditors, but the focus is on ensuring accurate control verification, not the auditor's competence.
Relevant Standard Reference:
ISO 19011:2018 Clause 6.4.8 (Process Simulation for Audit Evidence Collection) Explanation:
Comprehensive and Detailed In-Depth

質問 # 45
After completing Stage 1 and in preparation for a Stage 2 initial certification audit, the auditee informs the audit team leader that they wish to extend the audit scope to include two additional sites that have recently been acquired by the organisation.
Considering this information, what action would you expect the audit team leader to take?

A. Obtain information about the additional sites to inform the individual(s) managing the audit programme
B. Arrange to complete a remote Stage 1 audit of the two sites using a video conferencing platform
C. Inform the auditee that the audit team leader accepts the request
D. Increase the length of the Stage 2 audit to include the extra sites

正解：A

解説：
According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, the audit team leader should obtain information about the additional sites to inform the individual(s) managing the audit programme, as this may affect the audit objectives, scope, criteria, duration, resources, and risks. The audit team leader should also review the audit plan and make any necessary adjustments in consultation with the auditee and the audit client1. Reference: 1: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 27, section 4.3.2.2.

質問 # 46
As a new member of the IT department you have noticed that confidential information has been leaked several times. This may damage the reputation of the company. You have been asked to propose an organisational measure to protect laptop computers. What is the first step in a structured approach to come up with this measure?

A. Appoint security staff
B. Set up an access control procedure
C. Encrypt all sensitive information
D. Formulate a policy

正解：D

質問 # 47
A well-executed risk analysis provides a great deal of useful information. A risk analysis has four main objectives.
What is not one of the four main objectives of a risk analysis?

A. Establishing a balance between the costs of an incident and the costs of a security measure
B. Identifying assets and their value
C. Implementing counter measures
D. Determining relevant vulnerabilities and threats

正解：C

質問 # 48
What controls can you do to protect sensitive data in your computer when you go out for lunch?

A. You activate your favorite screen-saver
B. You lock your computer by pressing Windows+L or CTRL-ALT-DELETE and then click "Lock Computer".
C. You are confident to leave your computer screen as is since a password protected screensaver is installed and it is set to activate after 10 minutes of inactivity
D. You turn off the monitor

正解：B

解説：
You should lock your computer by pressing Windows+L or CTRL-ALT-DELETE and then click "Lock Computer", because this is the most effective way to protect sensitive data in your computer when you go out for lunch. By locking your computer, you are preventing unauthorized access to your computer and its contents, as well as complying with the organization's access control policy and information security policy. Locking your computer requires a password or a biometric authentication to unlock it, which adds a layer of security to your data. The other options are not sufficient or reliable, as they do not prevent someone from accessing your computer or viewing your screen. Reference: [CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course], ISO/IEC 27001:2022 Information technology - Security techniques - Information security management systems - Requirements, How to lock your PC

質問 # 49
Which two of the following phrases would apply to 'check' in the Plan-Do-Check-Act cycle for a business process?

A. Updating the Information Security Policy
B. Resetting objectives
C. Verifying training
D. Making improvements
E. Auditing processes
F. Managing changes

正解：C、E

解説：
The two phrases that would apply to 'check' in the Plan-Do-Check-Act cycle for a business process are:
* C. Verifying training
* F. Auditing processes
* C. This phrase applies to 'check' in the PDCA cycle because it involves measuring and evaluating the effectiveness of the training activities that were implemented in the 'do' phase. Training is an important aspect of information security awareness, education, and competence, which are required by clause 7.2 of ISO 27001:20221. Verifying training can help the organisation to assess whether the staff have acquired the necessary knowledge, skills, and behaviour to perform their roles and responsibilities in relation to information security. Verifying training can also help the organisation to identify any gaps or weaknesses in the training program and to plan for improvement actions.
* F. This phrase applies to 'check' in the PDCA cycle because it involves examining and reviewing the performance and conformity of the processes that were implemented in the 'do' phase. Auditing is a
* systematic, independent, and documented process for obtaining objective evidence and evaluating it to determine the extent to which the audit criteria are fulfilled2. Auditing processes can help the organisation to verify whether the information security objectives and requirements are met, whether the information security controls are effective and efficient, and whether the information security risks are adequately managed. Auditing processes can also help the organisation to identify any nonconformities or opportunities for improvement and to plan for corrective or preventive actions.
References:
1: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, clause 7.2 2: ISO 19011:2018 - Guidelines for auditing management systems, clause 3.2

質問 # 50
Which one of the following options best describes the purpose of a Stage 2 audit?

A. To ensure that the audit plan is carried out
B. To get to know the organisation's processes
C. To check for legal compliance by the organisation
D. To evaluate the implementation of the management system

正解：D

解説：
The purpose of a Stage 2 audit is to evaluate the implementation of the management system, in this case, the ISMS, according to the requirements of ISO/IEC 27001:2022 and the organisation's own policies and procedures. The Stage 2 audit involves collecting evidence of the effectiveness and performance of the ISMS, as well as verifying the conformity and suitability of the organisation's controls. The Stage 2 audit also assesses the organisation's ability to achieve its information security objectives and to manage information security risks. Reference: = ISO/IEC 27006:2022, clause 9.2.2.2; PECB Candidate Handbook ISO 27001 Lead Auditor, page 28.

質問 # 51
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. Referencing the scenario, which three of the following Annex A controls would you expect the auditee to have implemented when you conduct the follow-up audit?

A. 6.4 Disciplinary process
B. 5.11 Return of assets
C. 5.32 Intellectual property rights
D. 5.34 Privacy and protection of personal identifiable information (PII)
E. 5.6 Contact with special interest groups
F. 5.3 Segregation of duties
G. 6.3 Information security awareness, education, and training
H. 5.13 Labelling of information

正解：D、G、H

解説：
The three Annex A controls that you would expect the auditee to have implemented when you conduct the follow-up audit are:
B . 5.13 Labelling of information
E . 5.34 Privacy and protection of personal identifiable information (PII) G . 6.3 Information security awareness, education, and training B . This control requires the organisation to label information assets in accordance with the information classification scheme, and to handle them accordingly12. This control is relevant for the auditee because it could help them to avoid misaddressing labels and sending parcels to wrong destinations, which could compromise the confidentiality, integrity, and availability of the information assets. By labelling the information assets correctly, the auditee could also ensure that they are delivered to the intended recipients and that they are protected from unauthorized access, use, or disclosure.
E . This control requires the organisation to protect the privacy and the rights of individuals whose personal identifiable information (PII) is processed by the organisation, and to comply with the applicable legal and contractual obligations13. This control is relevant for the auditee because it could help them to prevent the unauthorized use of residents' personal data by a supplier, which could violate the privacy and the rights of the residents and their family members, and expose the auditee to legal and reputational risks. By protecting the PII of the residents and their family members, the auditee could also enhance their trust and satisfaction, and avoid complaints and disputes.
G . This control requires the organisation to ensure that all employees and contractors are aware of the information security policy, their roles and responsibilities, and the relevant information security procedures and controls14. This control is relevant for the auditee because it could help them to improve the information security culture and behaviour of their staff, and to reduce the human errors and negligence that could lead to information security incidents. By providing information security awareness, education, and training to their staff, the auditee could also increase their competence and performance, and ensure the effectiveness and efficiency of the information security processes and controls.
Reference:
1: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, Annex A 2: ISO/IEC 27002:2022 - Information technology - Security techniques - Code of practice for information security controls, clause 8.2.1 3: ISO/IEC 27002:2022 - Information technology - Security techniques - Code of practice for information security controls, clause 18.1.4 4: ISO/IEC 27002:2022 - Information technology - Security techniques - Code of practice for information security controls, clause 7.2.2

質問 # 52
Which of the following is not a type of Information Security attack?

A. Legal Incidents
B. Vehicular Incidents
C. Technical Vulnerabilities
D. Privacy Incidents

正解：B

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 # 53
You are an experienced ISMS audit team leader. You are providing an introduction to ISO/IEC 27001:2022 to a class of Quality Management System Auditors who are seeking to retrain to enable them to carry out information security management system audits.
You ask them which of the following characteristics of information does an information security management system seek to preserve?
Which three answers should they provide?

A. Clarity
B. Accessibility
C. Integrity
D. Confidentiality
E. Importance
F. Completeness
G. Efficiency
H. Availability

正解：C、D、H

解説：
Explanation
These three characteristics are the fundamental properties of information security, as defined by the ISO/IEC
27000 standard, which provides the overview and vocabulary of information security, cybersecurity, and privacy protection12. They are also the basis for the information security objectives and controls of the ISO/IEC 27001 standard, which specifies the requirements for establishing, implementing, maintaining, and continually improving an information security management system34. The definitions of these characteristics are as follows12:
*Availability: The property of being accessible and usable upon demand by an authorized entity.
*Confidentiality: The property that information is not made available or disclosed to unauthorized individuals, entities, or processes.
*Integrity: The property of safeguarding the accuracy and completeness of information and processing methods.
The other characteristics listed in the question, such as clarity, accessibility, completeness, importance, and efficiency, are not directly related to information security, although they may be relevant for other aspects of information management, such as quality, usability, or performance.
References: = 1: ISO/IEC 27000:2022 Information technology - Security techniques - Information security, cybersecurity and privacy protection - Overview and vocabulary, clause 32: ISO/IEC 27000:2022 (en), Information security, cybersecurity and privacy protection - Overview and vocabulary13: ISO/IEC
27001:2022 Information technology - Security techniques - Information security management systems - Requirements, clause 6.24: ISO/IEC 27001:2022 (en), Information security, cybersecurity and privacy protection - Information security management systems - Requirements1

質問 # 54
Which two of the following phrases are 'objectives' in relation to a first-party audit?

A. Update the management policy
B. Confirm the scope of the management system is accurate
C. Apply international standards
D. Prepare the audit report for the certification body
E. Complete the audit on time
F. Apply Regulatory requirements

正解：A、B

解説：
Explanation
A first-party audit is an internal audit conducted by the organization itself or by an external party on its behalf. The objectives of a first-party audit are to: 12
* Confirm the scope of the management system is accurate, i.e., it covers all the processes, activities, locations, and functions that are relevant to the information security objectives and requirements of the organization.
* Update the management policy, i.e., review and revise the policy statement, roles and responsibilities, and objectives and targets of the information security management system (ISMS) based on the audit findings and feedback.
The other phrases are not objectives of a first-party audit, but rather:
* Apply international standards: This is a requirement for the ISMS, not an objective of the audit. The ISMS must conform to the ISO/IEC 27001 standard and any other applicable standards or regulations12
* Prepare the audit report for the certification body: This is an activity of a third-party audit, not a first-party audit. A third-party audit is an external audit conducted by an independent certification body to verify the conformity and effectiveness of the ISMS and to issue a certificate of compliance12
* Complete the audit on time: This is a performance indicator, not an objective of the audit. The audit
* should be completed within the planned time frame and budget, but this is not the primary purpose of the audit12
* Apply regulatory requirements: This is also a requirement for the ISMS, not an objective of the audit. The ISMS must comply with the legal and contractual obligations of the organization regarding information security12 References:
1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

質問 # 55
You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
You find all nursing home residents wear an electronic wristband for monitoring their location, heartbeat, and blood pressure always. You learned that the electronic wristband automatically uploads all data to the artificial intelligence (AI) cloud server for healthcare monitoring and analysis by healthcare staff.
To verify the scope of ISMS, you interview the management system representative (MSR) who explains that the ISMS scope covers an outsourced data center.
Select three options for the audit evidence you need to find to verify the scope of the ISMS.

A. The auditee has identified the governmental authorities' needs and expectations on healthcare services and patient data handling
B. The auditee is considering the purchase of a healthcare monitoring app from an external software company
C. The auditee has identified the resident's needs and expectations on how they should protect the resident's personal data
D. The auditee has identified the resident's needs and expectations on healthcare medical treatment services
E. The IT service agreement with the data center where the artificial intelligence (AI) cloud server is located
F. The auditee has identified the resident's needs and expectations on the facility and environmental safety
G. The auditee has identified the resident's needs and expectations on the comfort facility, medical professional's competence, and clean environment
H. The auditee has ISO 9001 certification

正解：A、C、E

解説：
According to ISO 27001:2022 clause 4.3, the organisation shall determine the scope of the information security management system (ISMS) by considering the internal and external issues, the requirements of interested parties, and the interfaces and dependencies with other organisations12 In this case, the ISMS scope covers an outsourced data center that hosts the artificial intelligence (AI) cloud server for healthcare monitoring and analysis of the residents' data. Therefore, the audit evidence you need to find to verify the scope of the ISMS should include:
* The auditee has identified the governmental authorities' needs and expectations on healthcare services and patient data handling. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to comply with the relevant laws and regulations regarding the quality, safety, and privacy of healthcare services and patient data12
* The auditee has identified the resident's needs and expectations on how they should protect the resident's personal data. This is an external issue and an interested party requirement that affects the ISMS scope, as the auditee has to ensure the confidentiality, integrity, and availability of the resident's personal data that is collected, processed, and stored by the electronic wristband and the AI cloud server12
* The IT service agreement with the data center where the artificial intelligence (AI) cloud server is located. This is an interface and dependency with another organisation that affects the ISMS scope, as the auditee has to control the externally provided processes, products, and services that are relevant to the ISMS, and to implement appropriate contractual requirements related to information security12 The following options are not relevant or sufficient for verifying the scope of the ISMS:
* The auditee has identified the resident's needs and expectations on the facility and environmental safety.
This is an external issue and an interested party requirement, but it does not affect the ISMS scope, as it is not related to information security12
* The auditee has ISO 9001 certification. This is an indication of the auditee's quality management system, but it does not verify the scope of the ISMS, as it is not related to information security12
* The auditee has identified the resident's needs and expectations on the comfort facility, medical professional's competence, and clean environment. These are external issues and interested party requirements, but they do not affect the ISMS scope, as they are not related to information security12
* The auditee has identified the resident's needs and expectations on healthcare medical treatment services. These are external issues and interested party requirements, but they do not verify the scope of the ISMS, as they are not specific to information security12
* The auditee is considering the purchase of a healthcare monitoring app from an external software company. This is a potential change that may affect the ISMS scope in the future, but it does not verify the current scope of the ISMS, as it is not yet implemented or controlled12 References:
1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) Course by CQI and IRCA Certified Training 1 2: ISO/IEC 27001 Lead Auditor Training Course by PECB 2

質問 # 56
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 data. 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:
According to scenario 8, the audit team evaluated the action plan and concluded that it would resolve the detected nonconformities. Is this acceptable?

A. Yes, only if EsBank has previously verified the effectiveness of the action plan and informed the audit team that the action plan allows the correction of nonconformities
B. No, the auditee should verify if the action plan allows the correction of nonconformities and elimination of the root causes
C. Yes. the audit team must evaluate the action plan and verify if it is appropriate for correcting the detected nonconformities

正解：C

解説：
Yes, the audit team must evaluate the action plan and verify if it is appropriate for correcting the detected nonconformities. This is part of the auditor's responsibilities to ensure that the proposed actions adequately address the issues identified during the audit.

質問 # 57
Scenario 6: Sinvestment is an insurance company that offers home, commercial, and life insurance. The company was founded in North Carolina, but have recently expanded in other locations, including Europe and Africa.
Sinvestment is committed to complying with laws and regulations applicable to their industry and preventing any information security incident. They have implemented an ISMS based on ISO/IEC 27001 and have applied for ISO/IEC 27001 certification.
Two auditors were assigned by the certification body to conduct the audit. After signing a confidentiality agreement with Sinvestment. they started the audit activities. First, they reviewed the documentation required by the standard, including the declaration of the ISMS scope, information security policies, and internal audits reports. The review process was not easy because, although Sinvestment stated that they had a documentation procedure in place, not all documents had the same format.
Then, the audit team conducted several interviews with Sinvestment's top management to understand their role in the ISMS implementation. All activities of the stage 1 audit were performed remotely, except the review of documented information, which took place on-site, as requested by Sinvestment.
During this stage, the auditors found out that there was no documentation related to information security training and awareness program. When asked, Sinvestment's representatives stated that the company has provided information security training sessions to all employees. Stage 1 audit gave the audit team a general understanding of Sinvestment's operations and ISMS.
The stage 2 audit was conducted three weeks after stage 1 audit. The audit team observed that the marketing department (which was not included in the audit scope) had no procedures in place to control employees' access rights. Since controlling employees' access rights is one of the ISO/IEC 27001 requirements and was included in the information security policy of the company, the issue was included in the audit report. In addition, during stage 2 audit, the audit team observed that Sinvestment did not record logs of user activities. The procedures of the company stated that "Logs recording user activities should be retained and regularly reviewed," yet the company did not present any evidence of the implementation of such procedure.
During all audit activities, the auditors used observation, interviews, documented information review, analysis, and technical verification to collect information and evidence. All the audit findings during stages 1 and 2 were analyzed and the audit team decided to issue a positive recommendation for certification.
Based on the scenario above, answer the following question:
The audit team reviewed Sinvestment's documented information on-site, as requested by the company. Is this acceptable?

A. No, the combination of on-site and off-site activities can impact the audit negatively
B. Yes, Sinvestment has the right to require that no document is carried off-site during the documented information review
C. No, Sinvestment cannot decide where the documentation review take place, since a confidentiality agreement was signed prior to stage 1 audit

正解：B

解説：
Yes, it is acceptable for Sinvestment to request that the review of documented information occur on-site. The company has the right to stipulate that no documents be carried off-site, especially to maintain control over sensitive information and ensure confidentiality, which aligns with the security controls expected in ISO/IEC 27001.

質問 # 58
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