ISO-IEC-27001-Lead-Auditor 無料問題集「PECB Certified ISO/IEC 27001 Lead Auditor」
Scenario 2:
Clinic, founded in the 1990s, is a medical device company that specializes in treatments for heart-related conditions and complex surgical interventions. Based in Europe, it serves both patients and healthcare professionals. Clinic collects patient data to tailor treatments, monitor outcomes, and improve device functionality. To enhance data security and build trust, Clinic is implementing an information security management system (ISMS) based on ISO/IEC 27001. This initiative demonstrates Clinic's commitment to securely managing sensitive patient information and proprietary technologies.
Clinic established the scope of its ISMS by solely considering internal issues, interfaces, dependencies between internal and outsourced activities, and the expectations of interested parties. This scope was carefully documented and made accessible. In defining its ISMS, Clinic chose to focus specifically on key processes within critical departments such as Research and Development, Patient Data Management, and Customer Support.
Despite initial challenges, Clinic remained committed to its ISMS implementation, tailoring security controls to its unique needs. The project team excluded certain Annex A controls from ISO/IEC 27001 while incorporating additional sector-specific controls to enhance security. The team evaluated the applicability of these controls against internal and external factors, culminating in the development of a comprehensive Statement of Applicability (SoA) detailing the rationale behind control selection and implementation.
As preparations for certification progressed, Brian, appointed as the team leader, adopted a self-directed risk assessment methodology to identify and evaluate the company's strategic issues and security practices. This proactive approach ensured that Clinic's risk assessment aligned with its objectives and mission.
Based on Scenario 2, Clinic initially defined its information security objectives and then conducted a risk assessment. Is this acceptable?
Clinic, founded in the 1990s, is a medical device company that specializes in treatments for heart-related conditions and complex surgical interventions. Based in Europe, it serves both patients and healthcare professionals. Clinic collects patient data to tailor treatments, monitor outcomes, and improve device functionality. To enhance data security and build trust, Clinic is implementing an information security management system (ISMS) based on ISO/IEC 27001. This initiative demonstrates Clinic's commitment to securely managing sensitive patient information and proprietary technologies.
Clinic established the scope of its ISMS by solely considering internal issues, interfaces, dependencies between internal and outsourced activities, and the expectations of interested parties. This scope was carefully documented and made accessible. In defining its ISMS, Clinic chose to focus specifically on key processes within critical departments such as Research and Development, Patient Data Management, and Customer Support.
Despite initial challenges, Clinic remained committed to its ISMS implementation, tailoring security controls to its unique needs. The project team excluded certain Annex A controls from ISO/IEC 27001 while incorporating additional sector-specific controls to enhance security. The team evaluated the applicability of these controls against internal and external factors, culminating in the development of a comprehensive Statement of Applicability (SoA) detailing the rationale behind control selection and implementation.
As preparations for certification progressed, Brian, appointed as the team leader, adopted a self-directed risk assessment methodology to identify and evaluate the company's strategic issues and security practices. This proactive approach ensured that Clinic's risk assessment aligned with its objectives and mission.
Based on Scenario 2, Clinic initially defined its information security objectives and then conducted a risk assessment. Is this acceptable?
正解：A
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You are an experienced ISMS audit team leader. An auditor in training has approached you to ask you to clarify the different types of audits she may be required to undertake.
Match the following audit types to the descriptions.
To complete the table click on the blank section you want to complete so that It is highlighted In fed, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.
Match the following audit types to the descriptions.
To complete the table click on the blank section you want to complete so that It is highlighted In fed, and then click on the applicable text from the options below. Alternatively, you may drag and drop each option to the appropriate blank section.
正解：
Scenario 4: SendPay is a financial company that provides its services through a network of agents and financial institutions. One of their main services is transferring money worldwide. SendPay, as a new company, seeks to offer top quality services to its clients. Since the company offers international transactions, it requires from their clients to provide personal information, such as their identity, the reason for the transactions, and other details that might be needed to complete the transaction. Therefore, SendPay has implemented security measures to protect their clients' information, including detecting, investigating, and responding to any information security threats that may emerge. Their commitment to offering secure services was also reflected during the ISMS implementation where the company invested a lot of time and resources.
Last year, SendPay unveiled their digital platform that allows money transactions through electronic devices, such as smartphones or laptops, without requiring an additional fee. Through this platform, SendPay's clients can send and receive money from anywhere and at any time. The digital platform helped SendPay to simplify the company's operations and further expand its business. At the time, SendPay was outsourcing its software operations, hence the project was completed by the software development team of the outsourced company. The same team was also responsible for maintaining the technology infrastructure of SendPay.
Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year. They contracted a certification body that fit their criteri a. Soon after, the certification body appointed a team of four auditors to audit SendPay's ISMS.
During the audit, among others, the following situations were observed:
1. The outsourced software company had terminated the contract with SendPay without prior notice. As a result, SendPay was unable to immediately bring the services back in-house and its operations were disrupted for five days. The auditors requested from SendPay's representatives to provide evidence that they have a plan to follow in cases of contract terminations. The representatives did not provide any documentary evidence but during an interview, they told the auditors that the top management of SendPay had identified two other software development companies that could provide services immediately if similar situations happen again.
2. There was no evidence available regarding the monitoring of the activities that were outsourced to the software development company. Once again, the representatives of SendPay told the auditors that they regularly communicate with the software development company and that they are appropriately informed for any possible change that might occur.
3. There was no nonconformity found during the firewall testing. The auditors tested the firewall configuration in order to determine the level of security provided by these services. They used a packet analyzer to test the firewall policies which enabled them to check the packets sent or received in real-time.
Based on this scenario, answer the following question:
How do you evaluate the evidence obtained related to the monitoring process of outsourced operations? Refer to scenario 4.
Last year, SendPay unveiled their digital platform that allows money transactions through electronic devices, such as smartphones or laptops, without requiring an additional fee. Through this platform, SendPay's clients can send and receive money from anywhere and at any time. The digital platform helped SendPay to simplify the company's operations and further expand its business. At the time, SendPay was outsourcing its software operations, hence the project was completed by the software development team of the outsourced company. The same team was also responsible for maintaining the technology infrastructure of SendPay.
Recently, the company applied for ISO/IEC 27001 certification after having an ISMS in place for almost a year. They contracted a certification body that fit their criteri a. Soon after, the certification body appointed a team of four auditors to audit SendPay's ISMS.
During the audit, among others, the following situations were observed:
1. The outsourced software company had terminated the contract with SendPay without prior notice. As a result, SendPay was unable to immediately bring the services back in-house and its operations were disrupted for five days. The auditors requested from SendPay's representatives to provide evidence that they have a plan to follow in cases of contract terminations. The representatives did not provide any documentary evidence but during an interview, they told the auditors that the top management of SendPay had identified two other software development companies that could provide services immediately if similar situations happen again.
2. There was no evidence available regarding the monitoring of the activities that were outsourced to the software development company. Once again, the representatives of SendPay told the auditors that they regularly communicate with the software development company and that they are appropriately informed for any possible change that might occur.
3. There was no nonconformity found during the firewall testing. The auditors tested the firewall configuration in order to determine the level of security provided by these services. They used a packet analyzer to test the firewall policies which enabled them to check the packets sent or received in real-time.
Based on this scenario, answer the following question:
How do you evaluate the evidence obtained related to the monitoring process of outsourced operations? Refer to scenario 4.
正解：B
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AppFolk, a software development company, is seeking certification against ISO/IEC 27001. In the initial phases of the external audit, the certification body in discussion with the company excluded the marketing division from the audit scope, although they stated in their ISMS scope that the whole company is included. Is this acceptable?
正解：A
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Scenario 4: Branding is a marketing company that works with some of the most famous companies in the US. To reduce internal costs. Branding has outsourced the software development and IT helpdesk operations to Techvology for over two years. Techvology. equipped with the necessary expertise, manages Branding's software, network, and hardware needs. Branding has implemented an information security management system (ISMS) and is certified against ISO/IEC 27001, demonstrating its commitment to maintaining high standards of information security. It actively conducts audits on Techvology to ensure that the security of its outsourced operations complies with ISO/IEC 27001 certification requirements.
During the last audit. Branding's audit team defined the processes to be audited and the audit schedule. They adopted an evidence based approach, particularly in light of two information security incidents reported by Techvology in the past year The focus was on evaluating how these incidents were addressed and ensuring compliance with the terms of the outsourcing agreement The audit began with a comprehensive review of Techvology's methods for monitoring the quality of outsourced operations, assessing whether the services provided met Branding's expectations and agreed-upon standards The auditors also verified whether Techvology complied with the contractual requirements established between the two entities This involved thoroughly examining the terms and conditions in the outsourcing agreement to guarantee that all aspects, including information security measures, are being adhered to.
Furthermore, the audit included a critical evaluation of the governance processes Techvology uses to manage its outsourced operations and other organizations. This step is crucial for Branding to verify that proper controls and oversight mechanisms are in place to mitigate potential risks associated with the outsourcing arrangement.
The auditors conducted interviews with various levels of Techvology's personnel and analyzed the incident resolution records. In addition, Techvology provided the records that served as evidence that they conducted awareness sessions for the staff regarding incident management. Based on the information gathered, they predicted that both information security incidents were caused by incompetent personnel. Therefore, auditors requested to see the personnel files of the employees involved in the incidents to review evidence of their competence, such as relevant experience, certificates, and records of attended trainings.
Branding's auditors performed a critical evaluation of the validity of the evidence obtained and remained alert for evidence that could contradict or question the reliability of the documented information received. During the audit at Techvology, the auditors upheld this approach by critically assessing the incident resolution records and conducting thorough interviews with employees at different levels and functions. They did not merely take the word of Techvology's representatives for facts; instead, they sought concrete evidence to support the representatives' claims about the incident management processes.
Based on the scenario above, answer the following question:
According to ISO/IEC 27001 requirements, is Branding required to control the services offered by Techvology continually?
During the last audit. Branding's audit team defined the processes to be audited and the audit schedule. They adopted an evidence based approach, particularly in light of two information security incidents reported by Techvology in the past year The focus was on evaluating how these incidents were addressed and ensuring compliance with the terms of the outsourcing agreement The audit began with a comprehensive review of Techvology's methods for monitoring the quality of outsourced operations, assessing whether the services provided met Branding's expectations and agreed-upon standards The auditors also verified whether Techvology complied with the contractual requirements established between the two entities This involved thoroughly examining the terms and conditions in the outsourcing agreement to guarantee that all aspects, including information security measures, are being adhered to.
Furthermore, the audit included a critical evaluation of the governance processes Techvology uses to manage its outsourced operations and other organizations. This step is crucial for Branding to verify that proper controls and oversight mechanisms are in place to mitigate potential risks associated with the outsourcing arrangement.
The auditors conducted interviews with various levels of Techvology's personnel and analyzed the incident resolution records. In addition, Techvology provided the records that served as evidence that they conducted awareness sessions for the staff regarding incident management. Based on the information gathered, they predicted that both information security incidents were caused by incompetent personnel. Therefore, auditors requested to see the personnel files of the employees involved in the incidents to review evidence of their competence, such as relevant experience, certificates, and records of attended trainings.
Branding's auditors performed a critical evaluation of the validity of the evidence obtained and remained alert for evidence that could contradict or question the reliability of the documented information received. During the audit at Techvology, the auditors upheld this approach by critically assessing the incident resolution records and conducting thorough interviews with employees at different levels and functions. They did not merely take the word of Techvology's representatives for facts; instead, they sought concrete evidence to support the representatives' claims about the incident management processes.
Based on the scenario above, answer the following question:
According to ISO/IEC 27001 requirements, is Branding required to control the services offered by Techvology continually?
正解：A
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You are an experienced audit team leader conducting a third-party surveillance audit of an organisation that designs websites for its clients. You are currently reviewing the organisation's Statement of Applicability.
Based on the requirements of ISO/IEC 27001, which two of the following observations about the Statement of Applicability are false?
Based on the requirements of ISO/IEC 27001, which two of the following observations about the Statement of Applicability are false?
正解：D、F
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You are an audit team leader conducting a third-party surveillance audit of a telecom services provider. You have assigned responsibility for auditing the organisation's information security objectives to a junior member of your audit team. Before they begin their assessment, you ask them the following question to check their understanding of the requirements of ISO/IEC 27001:2022.
Which four of the following criteria must Information security objectives fulfil?
Which four of the following criteria must Information security objectives fulfil?
正解：B、F、G、H
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