PECB ISO-IEC-27001-Lead-Auditor 問題集

質問 1：
You are performing an ISO 27001 ISMS surveillance audit at a residential nursing home, ABC Healthcare Services. ABC uses a healthcare mobile app designed and maintained by a supplier, WeCare, to monitor residents' well-being. During the audit, you learn that 90% of the residents' family members regularly receive medical device advertisements from WeCare, by email and SMS once a week. The service agreement between ABC and WeCare prohibits the supplier from using residents' personal dat a. ABC has received many complaints from residents and their family members.
The Service Manager says that the complaints were investigated as an information security incident which found that they were justified.
Corrective actions have been planned and implemented according to the nonconformity and corrective action management procedure.
You write a nonconformity "ABC failed to comply with information security control A.5.34 (Privacy and protection of PII) relating to the personal data of residents' and their family members. A supplier, WeCare, used residents' personal information to send advertisements to family members." Select three options of the corrections and corrective actions listed that you would expect ABC to make in response to the nonconformity.
A. ABC discontinues the use of the ABC Healthcare mobile app.
B. ABC periodically monitors compliance with all applicable legislation and contractual requirements involving third parties.
C. ABC introduces background checks on information security performance for all suppliers.
D. ABC cancels the service agreement with WeCare.
E. ABC confirms that information security control A.5.34 is contained in the Statement of Applicability (SoA).
F. ABC trains all staff on the importance of maintaining information security protocols.
G. ABC asks an ISMS consultant to test the ABC Healthcare mobile app for protection against cyber-crime.
H. ABC takes legal action against WeCare for breach of contract.
正解：B,C,D
解説: (Topexam メンバーにのみ表示されます)

質問 2：
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:
Based on Scenario 7, which audit procedure was used to verify conformity to the use of test data?
A. Corroboration
B. Technical verification
C. Documented information review
正解：B
解説: (Topexam メンバーにのみ表示されます)

質問 3：
You are an experienced audit team leader guiding an auditor in training.
Your team is currently conducting a third-party surveillance audit of an organisation that stores data on behalf of external clients. The auditor in training has been tasked with reviewing the TECHNOLOGICAL controls listed in the Statement of Applicability (SoA) and implemented at the site.
Select four controls from the following that would you expect the auditor in training to review.
A. Confidentiality and nondisclosure agreements
B. How protection against malware is implemented
C. The organisation's business continuity arrangements
D. How the organisation evaluates its exposure to technical vulnerabilities
E. How power and data cables enter the building
F. Information security awareness, education and training
G. How access to source code and development tools are managed
H. The organisation's arrangements for information deletion
正解：B,D,G,H
解説: (Topexam メンバーにのみ表示されます)

質問 4：
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.
According to scenario 6, the marketing department employees were not following the access control policy. Which option is correct in this case?
A. The employees' access right control is included in Sinvestment's information security policy, so the issue must be communicated to Sinvestment's representatives and included in the audit report
B. Sinvestment is not controlling the employees' access rights, which represents a potential information security risk and should be reported as a major nonconformity
C. The marketing department is not included in the audit scope, so the issue should only be communicated to Sinvestment's representatives
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 5：
A key audit process is the way auditors gather information and determine the findings' characteristics. Put the actions listed in the correct order to complete this process. The last one has been done for you.

正解：


質問 6：
The following options are key actions involved in a first-party audit. Order the stages to show the sequence in which the actions should take place.

正解：

Reference:
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 7：
Scenario:
Northstorm is an online retail shop offering unique vintage and modern accessories. It initially entered a small market but gradually grew thanks to the development of the overall e-commerce landscape. Northstorm works exclusively online and ensures efficient payment processing, inventory management, marketing tools, and shipment orders. It uses prioritized ordering to receive, restock, and ship its most popular products.
Northstorm has traditionally managed its IT operations by hosting its website and maintaining full control over its infrastructure, including hardware, software, and data administration. However, this approach hindered its growth due to the lack of responsive infrastructure. Seeking to enhance its e-commerce and payment systems, Northstorm opted to expand its in-house data centers, completing the expansion in two phases over three months. Initially, the company upgraded its core servers, point-of-sale, ordering, billing, database, and backup systems. The second phase involved improving mail, payment, and network functionalities. Additionally, during this phase, Northstorm adopted an international standard for personally identifiable information (PII) controllers and PII processors regarding PII processing to ensure its data handling practices were secure and compliant with global regulations.
Despite the expansion, Northstorm's upgraded data centers failed to meet its evolving business demands. This inadequacy led to several new challenges, including issues with order prioritization. Customers reported not receiving priority orders, and the company struggled with responsiveness. This was largely due to the main server's inability to process orders from YouDecide, an application designed to prioritize orders and simulate customer interactions. The application, reliant on advanced algorithms, was incompatible with the new operating system (OS) installed during the upgrade.
Faced with urgent compatibility issues, Northstorm quickly patched the application without proper validation, leading to the installation of a compromised version. This security lapse resulted in the main server being affected and the company's website going offline for a week. Recognizing the need for a more reliable solution, the company decided to outsource its website hosting to an e-commerce provider. The company signed a confidentiality agreement concerning product ownership and conducted a thorough review of user access rights to enhance security before transitioning.
Which of the following situations represents a vulnerability in Northstorm's systems?
A. The new version of the application was not legitimate
B. The need for a replacement version of the application
C. The new version of the application directly affected the main server
正解：A
解説: (Topexam メンバーにのみ表示されます)

質問 8：
The auditor discovered that two out of 15 employees of the IT Department have not received adequate information security training. What does this represent?
A. Information source
B. Audit finding
C. Audit evidence
正解：B
解説: (Topexam メンバーにのみ表示されます)