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| Section | Objectives |
|---|---|
| Topic 1: Closing the Audit | - Audit reporting and follow-up
|
| Topic 2: Information Security Management System (ISMS) based on ISO/IEC 27001 | - ISO/IEC 27001 requirements (Clauses 4–10)
|
| Topic 3: Conducting an Audit | - Audit execution
|
| Topic 4: Fundamentals of Information Security Auditing | - Audit principles based on ISO 19011
|
| Topic 5: Planning and Initiating an Audit | - Audit program and planning activities
|
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NEW QUESTION # 405
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？
Answer: C
Explanation:
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
NEW QUESTION # 406
下列哪一個選項是與人員管理相關的控制措施，旨在避免事件的發生？
Answer: C
Explanation:
Regular security awareness and training sessions for employees are a control measure aimed at preventing security incidents by ensuring that personnel are aware of information security threats and concerns, and understand their roles and responsibilities in safeguarding organizational assets. This proactive approach is designed to educate employees on the importance of security practices and to avoid the occurrence of security incidents. References: = This answer is based on the principles of personnel security management as outlined in ISO/IEC 27001, particularly in Annex A.7 which deals with human resource security before, during, and after employment, and Annex A.9 which focuses on access control and ensuring that employees have access only to the information that is necessary for their job role
NEW QUESTION # 407
您正在一家提供醫療保健服務的住宅療養院進行 ISMS 初始認證審核。審計計劃的下一步是召開末次會議。在最終審核小組會議上，身為審核組組長，您同意報告 2 項輕微不符合項和 1 項改進機會，如下：
選擇您將在最後一次會議上向受審核方提供建議的審核專案經理的建議選項。
Answer: E
Explanation:
According to ISO/IEC 17021-1:2015, which specifies the requirements for bodies providing audit and certification of management systems, clause 9.4.9 requires the certification body to make a certification decision based on the information obtained during the audit and any other relevant information1. The certification body should also consider the effectiveness of the corrective actions taken by the auditee to address any nonconformities identified during the audit1. Therefore, when making a recommendation to the audit programme manager, an ISMS auditor should consider the nature and severity of the nonconformities and the proposed corrective actions.
Based on the scenario above, the auditor should recommend certification after their approval of the proposed corrective action plan and recommend that the findings can be closed out at a surveillance audit in 1 year. The auditor should provide the following justification for their recommendation:
Justification: This recommendation is appropriate because it reflects the fact that the auditee has only two minor nonconformities and one opportunity for improvement, which do not indicate a significant or systemic failure of their ISMS. A minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its overall effectiveness or conformity2. An opportunity for improvement is defined as a suggestion for improvement beyond what is required by ISO/IEC 27001:20222. Therefore, these findings do not prevent or preclude certification, as long as they are addressed by appropriate corrective actions within a reasonable time frame. The auditor should approve the proposed corrective action plan before recommending certification, to ensure that it is realistic, achievable, and effective. The auditor should also recommend that the findings can be closed out at a surveillance audit in 1 year, to verify that the corrective actions have been implemented and are working as intended.
The other options are not valid recommendations for the audit programme manager, as they are either too lenient or too strict for the given scenario. For example:
Recommend certification immediately: This option is not valid because it implies that the auditor ignores or accepts the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines for auditing management systems. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to consider the effectiveness of the corrective actions taken by the auditee before making a certification decision.
Recommend that a full scope re-audit is required within 6 months: This option is not valid because it implies that the auditor overreacts or exaggerates the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a re-audit is necessary based on the nature and extent of nonconformities and other relevant factors. A full scope re-audit is usually reserved for major nonconformities or multiple minor nonconformities that indicate a serious or widespread failure of an ISMS.
Recommend that an unannounced audit is carried out at a future date: This option is not valid because it implies that the auditor distrusts or doubts the auditee's commitment or capability to implement corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to conduct unannounced audits only under certain conditions, such as when there are indications of serious problems with an ISMS or when required by sector-specific schemes.
Recommend that a partial audit is required within 3 months: This option is not valid because it implies that the auditor imposes or prescribes a specific time frame or scope for verifying corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a partial audit is necessary based on the nature and extent of nonconformities and other relevant factors. A partial audit may be appropriate for minor nonconformities, but the time frame and scope should be agreed upon with the auditee and based on the proposed corrective action plan.
NEW QUESTION # 408
下列哪兩項工作文件不是認證審核員進行審核計畫時所需要的？
Answer: A,E
Explanation:
Audit planning for certification audits is defined by ISO 19011:2018, clause 6.3 (Preparing audit activities) and ISO/IEC 27006.
Key audit planning documents include:
* Audit plan (mandatory, prepared by team leader)
* Checklists (supporting tool for consistency and coverage of requirements)
* List of external providers (required to check compliance with ISO/IEC 27001 Annex A.5.19 - supplier relationships and A.5.20 - supplier agreements)
* Sample plans (used when sampling evidence across sites, processes, or records is needed, especially in Stage 2 audits) However, the following are not required:
* B. Career history of the IT manager - Personnel competence may be verified during interviews and evidence review, but an auditor does not need career histories as part of audit planning. ISO 19011 only requires access to competence records if needed but not CVs.
* F. Organisation's financial statement - Financial performance is not part of ISMS audit planning unless it relates to identified risks or contractual obligations. ISO/IEC 27001 focuses on information security risks, not financial audit compliance.
ISO 19011:2018 (clause 6.3.2) clearly defines the required planning inputs as:
* Audit objectives, scope, and criteria
* Audit team roles and responsibilities
* Allocation of resources
* Information about the auditee's ISMS (e.g., documented scope, processes, external provider relationships, relevant legal/regulatory requirements) There is no mention of personnel CVs or financial statements being required.
Final Correct Answer: B and F
References:
ISO 19011:2018, clause 6.3 (Preparing audit activities)
ISO/IEC 27006:2015, section 9.2 (Audit planning requirements for ISMS certification bodies)
NEW QUESTION # 409
場景 5：Cobt。位於倫敦的保險公司，提供各種商業、工業和人壽保險解決方案。近年來，Cobt 的客戶數量大幅增加。由於需要處理大量數據，該公司認為通過 ISO/IEC 27001 認證將為資訊安全帶來許多好處，並表明其對持續改進的承諾。儘管該公司擅長進行定期風險評估，但實施 ISMS 會為其日常營運帶來重大變化。在風險評估過程中，發現了一種風險，即組織的內部控制機制未能發現或預防重大缺陷。
公司遵循一套方法論來實施 ISMS，並在僅僅幾個月後就建立了可運行的 ISMS。分配了審核團隊成員的職責。
Sarah 承認，儘管 Cobt 通過提供多樣化的商業和保險解決方案實現了顯著擴張，但它仍然依賴於一些手動流程。 ，特別是關於被審計方的可用性和合作以及獲取證據的管道。在本案中，Cobt的拒絕引發了人們對審計的完整性及其提供合理保證的能力的質疑。針對這些情況，Sarah決定在簽署認證協議之前退出審核，並將她的決定告知了Cobt和認證機構。做出這項決定是為了確保遵守審計原則並保持透明度，突顯了她始終如一地堅持這些原則的承諾。
根據上述情景，回答以下問題：
根據場景 5 中所描述的莎拉的角色，下列哪一項不應屬於她的職責？
Answer: B
Explanation:
Comprehensive and Detailed In-Depth
A . Assigning responsibilities to the audit team members (Correct Answer) - This is not Sarah's responsibility. The certification body assigns the audit team and defines responsibilities, ensuring independence and objectivity.
B . Defining the audit criteria and objectives (Correct Responsibility) - Sarah, as the audit team leader, must establish audit criteria and objectives, per ISO 19011 (Guidelines for Auditing Management Systems).
C . Planning the audit (Correct Responsibility) - The audit team leader is responsible for planning the audit, including timelines and resource allocation.
Relevant Standard Reference:
ISO/IEC 27001:2022 Clause 9.2 (Internal Audit)
NEW QUESTION # 410
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