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| Section | Objectives |
|---|---|
| Planning and Initiating an Audit | - Audit program and planning activities
|
| Information Security Management System (ISMS) based on ISO/IEC 27001 | - ISO/IEC 27001 requirements (Clauses 4–10)
|
| Closing the Audit | - Audit reporting and follow-up
|
| Fundamentals of Information Security Auditing | - Audit principles based on ISO 19011
|
| Conducting an Audit | - Audit execution
|
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NEW QUESTION # 78
您是經驗豐富的審核團隊領導，指導審核員進行培訓。
您的團隊目前正在對代表外部客戶儲存資料的組織進行第三方監督審核。接受培訓的審核員的任務是審查適用性聲明 (SoA) 中列出並在現場實施的人員控制措施。
從以下內容中選擇您希望接受培訓的審核員審查的四項控制措施。
Answer: A,B,E,G
Explanation:
The four controls from the list that the auditor in training should review are:
*
A . Confidentiality and nondisclosure agreements: This control requires the organisation to ensure that all employees, contractors, and third parties who have access to sensitive information sign appropriate agreements that oblige them to protect the confidentiality and integrity of such information. This is especially important for an organisation that stores data on behalf of external clients, as it demonstrates its commitment to safeguarding their information assets and complying with their contractual obligations.
* C . Information security awareness, education and training: This control requires the organisation to provide regular and relevant information security awareness, education and training to all employees, contractors, and third parties who have access to the organisation's information systems and information assets. This is essential for ensuring that they are aware of their roles and responsibilities, the information security policies and procedures, the potential threats and risks, and the best practices for preventing and responding to information security incidents.
* D . Remote working arrangements: This control requires the organisation to establish and implement policies and procedures for managing the information security risks associated with remote working arrangements, such as teleworking, mobile working, or working from home. This includes defining the conditions and requirements for remote working, such as the authorised devices, applications, and networks, the encryption and authentication methods, the backup and recovery procedures, and the reporting and monitoring mechanisms. This is important for an organisation that stores data on behalf of external clients, as it ensures that the information security level is maintained regardless of the location of the workers and the devices they use.
* E . The conducting of verification checks on personnel: This control requires the organisation to conduct appropriate verification checks on the background, qualifications, and references of all employees, contractors, and third parties who have access to the organisation's information systems and information assets. This is necessary for verifying their identity, suitability, and trustworthiness, and for preventing the hiring of unauthorised or malicious individuals who could compromise the information security of the organisation and its clients.
NEW QUESTION # 79
您是一位經驗豐富的 ISMS 審核員，在一家提供 ICT 回收服務的組織中進行第三方監督審核。公司不再需要的ICT設備由組織處理。它要么被重新調試並重複使用，要么被安全地銷毀。
您注意到房間角落的長凳上有兩台伺服器。兩者的項目上都貼有伺服器名稱、IP 位址和管理員密碼的貼圖。您向 ICT 經理詢問這些物品，他告訴您這些物品是昨天從一位老客戶那裡收到的一批貨物的一部分。
您應該採取哪一項行動？
Answer: C
Explanation:
According to ISO 27001:2022 clause 8.1.4, the organisation shall ensure that externally provided processes, products or services that are relevant to the information security management system are controlled. This includes implementing appropriate contractual requirements related to information security with external providers, such as customers who send ICT equipment for reclamation12 In this case, the organisation offers ICT reclamation services, which involves processing customer ICT equipment that may contain sensitive or confidential information. The organisation should have a process in place to ensure that the customer ICT equipment is handled securely and in accordance with the customer's information security requirements. The process should include steps such as verifying the customer's identity and authorisation, checking the inventory and condition of the equipment, removing or destroying any labels or stickers that contain information about the equipment or the customer, wiping or erasing any data stored on the equipment, and documenting the actions taken and the results achieved12 The fact that the auditor noticed two servers on a bench with stickers that reveal the server's name, IP address and admin password indicates that the process for dealing with incoming shipments relating to customer IT security is not effective or not followed. This could pose a risk of unauthorised access, disclosure, or modification of the customer's information or systems. Therefore, the auditor should note the audit finding and check the process for dealing with incoming shipments relating to customer IT security, and determine whether there is a nonconformity with clause 8.1.4 of ISO 27001:202212 The other actions are not appropriate for the following reasons:
A . Asking the ICT Manager to record an information security incident and initiate the information security incident management process is not appropriate because this is not an information security incident that affects the organisation's own information or systems. An information security incident is defined as a single or a series of unwanted or unexpected information security events that have a significant probability of compromising business operations and threatening information security12 In this case, the information security event affects the customer's information or systems, not the organisation's. Therefore, the organisation should follow the process for dealing with incoming shipments relating to customer IT security, not the process for information security incident management.
C . Recording what the auditor has seen in the audit findings, but taking no further action is not appropriate because this would not address the root cause or the impact of the issue. The auditor has a responsibility to verify the effectiveness and compliance of the organisation's information security management system, and to report any nonconformities or opportunities for improvement12 Therefore, the auditor should check the process for dealing with incoming shipments relating to customer IT security, and determine whether there is a nonconformity with clause 8.1.4 of ISO 27001:2022.
D . Raising a nonconformity against control 5.31 Legal, statutory, regulatory and contractual requirements is not appropriate because this control is not relevant to the issue. Control 5.31 requires the organisation to identify and comply with the legal, statutory, regulatory and contractual requirements that are applicable to the information security management system12 In this case, the issue is not about the organisation's compliance with the legal, statutory, regulatory and contractual requirements, but about the organisation's control of the externally provided processes, products or services that are relevant to the information security management system. Therefore, the auditor should check the process for dealing with incoming shipments relating to customer IT security, and determine whether there is a nonconformity with clause 8.1.4 of ISO 27001:2022.
E . Raising a nonconformity against control 8.20 'network security' (networks and network devices shall be secured, managed and controlled to protect information in systems and applications) is not appropriate because this control is not relevant to the issue. Control 8.20 requires the organisation to secure, manage and control its own networks and network devices to protect the information in its systems and applications12 In this case, the issue is not about the organisation's network security, but about the organisation's control of the externally provided processes, products or services that are relevant to the information security management system. Therefore, the auditor should check the process for dealing with incoming shipments relating to customer IT security, and determine whether there is a nonconformity with clause 8.1.4 of ISO 27001:2022.
F . Asking the auditee to remove the labels, then carry on with the audit is not appropriate because this would not address the root cause or the impact of the issue. The auditor should not interfere with the auditee's operations or suggest corrective actions during the audit, as this would compromise the auditor's objectivity and impartiality12 The auditor should check the process for dealing with incoming shipments relating to customer IT security, and determine whether there is a nonconformity with clause 8.1.4 of ISO 27001:2022.
Reference:
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
NEW QUESTION # 80
情境二：
Clinic成立於1990年代，是一家專注於心臟疾病治療和複雜外科手術的醫療器材公司。公司總部位於歐洲，服務對象包括病患和醫療專業人員。 Clinic收集患者數據，用於制定個人化治療方案、監測治療效果並改善設備功能。為了增強資料安全性並建立信任，Clinic正在實施基於ISO/IEC 27001的資訊安全管理系統(ISMS)。此舉體現了Clinic致力於安全管理敏感患者資訊和專有技術的承諾。
診所僅考慮內部問題、介面、內部活動與外包活動之間的依賴關係以及相關方的期望，來確定其資訊安全管理系統 (ISMS) 的範圍。該範圍已詳細記錄並公開。在定義其 ISMS 時，診所選擇專注於研發、病患資料管理和客戶支援等關鍵部門的關鍵流程。
儘管初期面臨挑戰，診所仍堅持推進資訊安全管理系統(ISMS)的實施，並根據自身獨特需求量身訂做安全控制措施。專案團隊在排除ISO/IEC 27001標準附件A中的某些控制措施的同時，納入了其他產業特定的控制措施以增強安全性。團隊評估了這些控制措施在內部和外部因素下的適用性，最終制定了一份全面的適用性聲明(SoA)，詳細闡述了控制措施選擇和實施背後的理由。
隨著認證準備工作的推進，被任命為團隊負責人的布萊恩採用了一種自主風險評估方法，以識別和評估公司的策略問題和安全措施。這種積極主動的方法確保了診所的風險評估與其目標和使命保持一致。
問題：
診所的SoA文件是否符合ISO/IEC 27001對SoA的要求？
Answer: B
Explanation:
Comprehensive and Detailed In-Depth Explanation:
The Statement of Applicability (SoA) is a mandatory document in ISO/IEC 27001:2022 that lists all Annex A controls, their applicability, and justifications for inclusion or exclusion.
* C. Correct Answer: The SoA must include justifications for excluding Annex A controls. The scenario states that the project team excluded certain controls but does not mention that justifications were documented. This violates ISO/IEC 27001 Clause 6.1.3 (Information Security Risk Treatment), which requires documenting exclusions with reasons.
* A. Incorrect: While the SoA should include an exhaustive list of controls, simply listing applicable controls from Annex A and other sources does not meet the requirement if exclusions are not justified.
* B. Incorrect: Including security controls from other sources is allowed and does not invalidate the SoA, as organizations can define additional controls beyond Annex A based on their risk assessment.
Thus, Clinic's SoA is incomplete because it does not provide a justification for the exclusions of Annex A controls, making it non-compliant with ISO/IEC 27001 requirements.
NEW QUESTION # 81
下列敘述中哪兩項是正確的？
Answer: E,F
Explanation:
From Exact Extract:
Explanation for B (True):
This statement is true because ISO 27001 requires an organization to establish processes for identifying, reviewing, and complying with applicable legal, statutory, regulatory, and contractual obligations. A key part of this is being aware of changes to these requirements to maintain ongoing compliance. An auditor's role is to verify that the organization has such a process in place and that it is effective.
Reference:
ISO/IEC 27001:2022, Clause 6.1.3 "Information security risk treatment": While not directly stating "legal requirements," this clause implies that the organization must determine controls to treat information security risks, and compliance with legal requirements is a significant risk factor.
ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": This control states: "The organization should identify, document, and comply with relevant legal, statutory, regulatory, and contractual requirements related to information security." This inherently includes processes for staying aware of changes.
ISO/IEC 27002:2022, 5.31 (Guidance for A.5.31): Provides more detail, emphasizing the need for processes to "identify all relevant legal, statutory, regulatory and contractual requirements, and to ensure that appropriate action is taken to comply with these requirements." This explicitly includes monitoring for changes.
ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": An audit objective is to determine "the ability of the management system to ensure the client meets applicable statutory, regulatory and contractual requirements." This necessarily involves checking the process for identifying changes.
Explanation for E (True):
ISO 27001 mandates the retention of documented information for various aspects of the ISMS, including the identification of legal requirements. Auditors will look for evidence that the organization has indeed identified and documented the applicable legislation it needs to comply with.
Reference:
ISO/IEC 27001:2022, Clause 7.5.1 "General," 7.5.2 "Creating and updating documented information," and
7.5.3 "Control of documented information": These clauses generally require documented information to be maintained and retained as specified by the standard.
ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": As mentioned above, this control explicitly states that the organization should "identify, document, and comply with relevant legal, statutory, regulatory and contractual requirements." The term "document" directly implies
"documented information is retained."
ISO/IEC 27002:2022, 5.31 (Guidance for A.5.31): Further elaborates that the identified requirements should be documented and kept up to date.
Explanation for A (False):
The organization is required to comply with all applicable legal, statutory, and regulatory requirements, as well as contractual obligations. Information security often intersects with broader legal frameworks (e.g., data protection, privacy, industry-specific regulations) that may not directly relate to the ISMS in a narrow sense, but are critical to the organization's overall compliance and its information security posture.
Reference:
ISO/IEC 27001:2022, Annex A.5.31 "Legal, statutory, regulatory and contractual requirements": This control does not limit compliance to only what "directly relates" but to "relevant" requirements. The scope of
"relevant" is determined by the organization's context, operations, and information it handles.
Explanation for C (False):
Organizations can and often do outsource tasks like legal environment reviews to specialized legal firms or subscribe to legal compliance services. The ISO 27001 standard does not prohibit outsourcing. However, the organization remains ultimately accountable for ensuring that these outsourced processes meet the requirements of the ISMS and that legal compliance is maintained. The auditor would verify the organization's oversight of such outsourced activities.
Reference:
ISO/IEC 27001:2022, Clause 8.1 "Operational planning and control": This clause states that organizations should "control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects" and "ensure that outsourced processes are controlled." This implicitly allows outsourcing but requires control.
Explanation for D (False):
A certification body auditor's role is not to act as a legal compliance officer or to definitively verify the organization's actual legal compliance status (i.e., whether they are perfectly compliant with every law). That responsibility lies with the organization itself, often supported by its legal counsel. The auditor's role is to verify that the organization has established, implemented, and maintains an effective process for identifying, managing, and complying with legal requirements as required by ISO 27001. They audit the management system's approach to compliance, not the legal compliance outcome itself.
Reference:
ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": States that the audit is to determine "the ability of the management system to ensure the client meets applicable statutory, regulatory and contractual requirements." It does not state the auditor's role is to legally verify compliance.
ISO/IEC 27001:2022, Introduction: Emphasizes that the standard specifies requirements for establishing, implementing, maintaining, and continually improving an ISMS, not for guaranteeing absolute legal compliance outside the scope of the ISMS processes.
Explanation for F (This statement is generally aligned with the role, but less precise as a 'sole true' statement compared to B and E):
While this statement is generally true about the auditor's role, its phrasing "to ensure compliance with their legal requirements" can be misinterpreted. As explained for D, the auditor evaluates the processes designed to achieve compliance, not the absolute legal compliance itself. However, in the context of multiple-choice questions where you pick the "most true" statements, it conveys a similar intent to B, but B and E are more precise regarding specific auditor actions and ISMS requirements. Given B and E are unequivocally true as specific audit actions/requirements, they are the stronger correct answers.
Reference:
ISO/IEC 17021-1:2015, Clause 9.1.2 "Audit objectives": As noted before, the audit objective includes evaluating the management system's ability to meet requirements. This aligns with evaluating processes.
NEW QUESTION # 82
場景 2：
Clinic 成立於 20 世紀 90 年代，是一家專門治療心臟相關疾病和複雜外科手術的醫療器材公司。該公司總部位於歐洲，為患者和醫療保健專業人士提供服務。診所收集患者數據以客製化治療方案、監測結果並改善設備功能。為了增強資料安全性和建立信任，Clinic 正在實施基於 ISO/IEC 27001 的資訊安全管理系統 (ISMS)。
診所僅透過考慮內部問題、介面、內部和外包活動之間的依賴關係以及相關方的期望來確定其 ISMS 的範圍。此範圍已仔細記錄並可供查閱。在定義其 ISMS 時，Clinic 選擇專注於關鍵部門內的關鍵流程，例如研發、病患資料管理和客戶支援。
儘管最初面臨挑戰，Clinic 仍然致力於實施 ISMS，並根據其獨特需求量身定制安全控制。專案團隊從 ISO/IEC 27001 中排除了某些附件 A 控制，同時加入了額外的特定產業控制以增強安全性。該團隊根據內部和外部因素評估了這些控制的適用性，最終制定了全面的適用性聲明 (SoA)，詳細說明了控制選擇和實施背後的理由。
隨著認證準備工作的進展，被任命為團隊負責人的 Brian 採用了自我導向的風險評估方法來識別和評估公司的策略問題和安全實踐。這種積極主動的方法確保診所的風險評估與其目標和使命保持一致。
診所的 SoA 文件是否符合 SoA 的 ISO/IEC 27001 要求？
Answer: C
Explanation:
Comprehensive and Detailed In-Depth
The Statement of Applicability (SoA) is a mandatory document in ISO/IEC 27001:2022 that lists all Annex A controls, their applicability, and justifications for inclusion or exclusion.
C . Correct Answer: The SoA must include justifications for excluding Annex A controls. The A . Incorrect: While the SoA should include an exhaustive list of controls, simply listing applicable controls from Annex A and other sources does not meet the requirement if exclusions are not justified.
B . Incorrect: Including security controls from other sources is allowed and does not invalidate the SoA, as organizations can define additional controls beyond Annex A based on their risk assessment.
NEW QUESTION # 83
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