試験高合格率保証2024年08月04日 ISO-IEC-27001-Lead-Auditor試験問題と正確な回答！ [Q19-Q36]

試験高合格率保証2024年08月04日 ISO-IEC-27001-Lead-Auditor試験問題と正確な回答！

テストエンジン練習問題ISO-IEC-27001-Lead-Auditor有効最新の問題集

PECB ISO-IEC-27001-Lead-Auditor 試験は、リスク管理、セキュリティポリシーと手順、セキュリティコントロール、およびセキュリティ監査など、情報セキュリティ管理に関連するさまざまなトピックをカバーしています。試験はまた、ISO/IEC 27001 標準とその実装に関する知識をテストします。試験に合格することで、情報セキュリティ監査を効果的に実施し、ISO/IEC 27001 標準に従って組織の情報セキュリティ管理システムを管理する能力を証明することができます。

この試験は、筆記試験と実技試験で構成されています。筆記試験は情報セキュリティ管理と監査の理論的側面をカバーし、実技試験は、実世界のシナリオで学んだ概念を適用できる個人の能力を評価します。試験は難しく、個人は情報セキュリティ管理の原則、リスク管理、監査プロセスについてのしっかりとした理解が期待されます。

PECB ISO-IEC-27001-LEAD-AUDITOR認定は、グローバルに認識されており、雇用主によって高く評価されています。この認定は、個人が組織のISMを効果的に監査し、ISO/IEC 27001標準に準拠していることを保証するために必要なスキルと知識を持っていることを示しています。この認定は、ITマネージャー、セキュリティコンサルタント、監査人など、情報セキュリティ管理の分野で働く専門家にとって特に価値があります。

 

質問 # 19
During a third-party certification audit you are presented with a list of issues by an auditee. Which four of the following constitute 'external' issues in the context of a management system to ISO/IEC 27001:2022?

• A. A fall in productivity linked to outdated production equipment
• B. A rise in interest rates in response to high inflation
• C. Increased absenteeism as a result of poor management
• D. Poor levels of staff competence as a result of cuts in training expenditure
• E. A reduction in grants as a result of a change in government policy
• F. Poor morale as a result of staff holidays being reduced
• G. Inability to source raw materials due to government sanctions
• H. Higher labour costs as a result of an aging population

正解：B、E、G、H

解説：
Explanation
According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 4.1 requires an organization to determine external and internal issues that are relevant to its purpose and that affect its ability to achieve the intended outcomes of its ISMS2. External issues are those that originate from outside the organization, such as legal, regulatory, cultural, social, political, economic, natural and competitive factors2. Internal issues are those that originate from within the organization, such as governance, structure, roles and responsibilities, policies, objectives, culture, capabilities, resources and information systems2. Therefore, based on this definition, four examples of external issues in the context of a management system to ISO/IEC 27001:2022 are a rise in interest rates in response to high inflation (which affects the economic environment of the organization), a reduction in grants as a result of a change in government policy (which affects the political and legal environment of the organization), higher labour costs as a result of an aging population (which affects the social and demographic environment of the organization), and inability to source raw materials due to government sanctions (which affects the trade and supply environment of the organization)2. The other options are examples of internal issues, as they originate from within the organization or its activities. For example, poor levels of staff competence as a result of cuts in training expenditure (which affects the capabilities and resources of the organization), increased absenteeism as a result of poor management (which affects the culture and performance of the organization), poor morale as a result of staff holidays being reduced (which affects the motivation and satisfaction of the organization's personnel), and a fall in productivity linked to outdated production equipment (which affects the efficiency and quality of the organization's processes)2. References: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements

質問 # 20
Objectives, criteria, and scope are critical features of a third-party ISMS audit. Which two issues are audit objectives?

• A. Assess conformity with ISO/IEC 27001 requirements
• B. Evaluate customer processes and functions
• C. Fulfil the audit plan
• D. Determine the scope of the ISMS
• E. Review organisation efficiency
• F. Confirm sites operating the ISMS

正解：A、F

解説：
Explanation
Audit objectives are the specific purposes or goals that the customer or the certification body wants to achieve through the audit. They define what the audit intends to accomplish and provide the basis for planning and conducting the audit. Audit objectives may vary depending on the type, scope, and criteria of the audit, but they should be clear, measurable, and achievable.
Some examples of audit objectives for a third-party ISMS audit are:
* Assess conformity with ISO/IEC 27001 requirements: This objective means that the audit aims to verify that the organisation's ISMS meets the requirements of the ISO/IEC 27001 standard, which specifies the best practices for establishing, implementing, maintaining, and improving an information security management system. The audit will evaluate the organisation's ISMS documentation, processes, controls, and performance against the standard's clauses and annex A controls.
* Confirm sites operating the ISMS: This objective means that the audit aims to confirm that the organisation's ISMS covers all the relevant sites or locations where the organisation operates or provides its services. The audit will verify that the scope of the ISMS is accurate and consistent with the organisation's context, objectives, and risks.
The other phrases are not audit objectives, but rather:
* Evaluate customer processes and functions: This is not an audit objective, but rather a possible audit criterion or a requirement that the organisation's processes and functions should meet. The audit criterion is the reference against which the audit evidence is compared to determine conformity or nonconformity. The audit criterion may include ISO/IEC 27001 requirements, customer requirements, or other applicable standards or regulations.
* Fulfil the audit plan: This is not an audit objective, but rather a task or an activity that the auditor performs during the audit. The audit plan is a document that describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. The auditor should follow and fulfil the audit plan to ensure that the audit is conducted effectively and efficiently.
* Determine the scope of the ISMS: This is not an audit objective, but rather a prerequisite or an input for conducting the audit. The scope of the ISMS is the extent and boundaries of the information security management system within the organisation. It defines what processes, activities, locations, assets, and stakeholders are included or excluded from the ISMS. The scope of the ISMS should be determined by the organisation before applying for certification or undergoing an audit.
* Review organisation efficiency: This is not an audit objective, but rather a possible outcome or a result of conducting an audit. The organisation efficiency is a measure of how well the organisation uses its
* resources to achieve its goals and objectives. The audit may help review and improve the organisation efficiency by identifying strengths, weaknesses, opportunities, and threats in its information security management system.
References:
* ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB
* ISO 19011:2018 Guidelines for auditing management systems [Section 5.3.1]

質問 # 21
What is the worst possible action that an employee may receive for sharing his or her password or access with others?

• A. Three days suspension from work
• B. The lowest rating on his or her performance assessment
• C. Termination
• D. Forced roll off from the project

正解：C

解説：
The worst possible action that an employee may receive for sharing his or her password or access with others is termination, because this is a serious breach of the organization's information security policy and access control policy. Sharing password or access with others may allow unauthorized users to access sensitive or confidential information, or to perform malicious or fraudulent activities on behalf of the employee. The employee should keep his or her password or access confidential and secure, and should not disclose it to anyone under any circumstances. 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], Example of an information security policy, Example of an access control policy

質問 # 22
The data center at which you work is currently seeking ISO/IEC27001:2022 certification. In preparation for your initial certification visit a number of internal audits have been carried out by a colleague working at another data centre within your Group. They secured their ISO/IEC 27001:2022 certificate earlier in the year.
You have just qualified as an Internal ISMS auditor and your manager has asked you to review the audit process and audit findings as a final check before the external Certrfication Body arrives.
Which six of the following would cause you concern in respect of conformity to ISO/IEC 27001:2022 requirements?

• A. Audit reports to date have used key performance indicator information to focus solely on the efficiency of ISMS processes
• B. The audit programme does not reference audit methods or audit responsibilities
• C. The audit programme shows management reviews taking place at irregular intervals during the year
• D. Top management commitment to the ISMS will not be audited before the certification visit, according to the audit programme
• E. Although the scope for each internal audit has been defined, there are no audit criteria defined for the audits carried out to date
• F. Audit reports are not held in hardcopy (i.e. on paper). They are only stored as ".POF documents on the organisation's intranet
• G. The audit programme mandates auditors must be independent of the areas they audit in order to satisfy the requirements of ISO/IEC 27001:2022
• H. The audit programme does not take into account the results of previous audits
• I. The audit process states the results of audits will be made available to 'relevant' managers, not top management
• J. The audit programme does not take into account the relative importance of information security processes

正解：A、C、D、E、H、J

解説：
Explanation
According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 9.3 requires top management to review the organization's ISMS at planned intervals to ensure its continuing suitability, adequacy and effectiveness1. Clause 9.2 requires the organization to conduct internal audits at planned intervals to provide information on whether the ISMS conforms to its own requirements and those of ISO/IEC 27001:2022, and is effectively implemented and maintained1. Therefore, when reviewing the audit process and audit findings as a final check before the external certification body arrives, an internal ISMS auditor should verify that these clauses are met in accordance with the audit criteria.
Six of the following statements would cause concern in respect of conformity to ISO/IEC 27001:2022 requirements:
* The audit programme shows management reviews taking place at irregular intervals during the year:
This statement would cause concern because it implies that the organization is not conducting management reviews at planned intervals, as required by clause 9.3. This may affect the ability of top management to ensure the continuing suitability, adequacy and effectiveness of the ISMS.
* The audit programme does not take into account the relative importance of information security processes: This statement would cause concern because it implies that the organization is not applying a risk-based approach to determine the audit frequency, methods, scope and criteria, as recommended by ISO 19011:2018, which provides guidelines for auditing management systems2. This may affect the ability of the organization to identify and address the most significant risks and opportunities for its ISMS.
* Although the scope for each internal audit has been defined, there are no audit criteria defined for the audits carried out to date: This statement would cause concern because it implies that the organization is not establishing audit criteria for each internal audit, as required by clause 9.2. Audit criteria are the set of policies, procedures or requirements used as a reference against which audit evidence is compared2.
Without audit criteria, it is not possible to determine whether the ISMS conforms to its own requirements and those of ISO/IEC 27001:2022.
* Audit reports to date have used key performance indicator information to focus solely on the efficiency of ISMS processes: This statement would cause concern because it implies that the organization is not evaluating the effectiveness of ISMS processes, as required by clause 9.1. Effectiveness is the extent to which planned activities are realized and planned results achieved2. Efficiency is the relationship between the result achieved and the resources used2. Both aspects are important for measuring and evaluating ISMS performance and improvement.
* The audit programme does not take into account the results of previous audits: This statement would cause concern because it implies that the organization is not using the results of previous audits as an input for planning and conducting subsequent audits, as recommended by ISO 19011:20182. This may affect the ability of the organization to identify and address any recurring or unresolved issues or nonconformities related to its ISMS.
* Top management commitment to the ISMS will not be audited before the certification visit, according to the audit programme: This statement would cause concern because it implies that the organization is not verifying that top management demonstrates leadership and commitment with respect to its ISMS, as required by clause 5.1. This may affect the ability of top management to ensure that the ISMS policy and objectives are established and compatible with the strategic direction of the organization; that roles, responsibilities and authorities for relevant roles are assigned and communicated; that resources needed for the ISMS are available; that communication about information security matters is established; that continual improvement of the ISMS is promoted; that other relevant management reviews are aligned with those of information security; and that support is provided to other relevant roles1.
The other statements would not cause concern in respect of conformity to ISO/IEC 27001:2022 requirements:
* Audit reports are not held in hardcopy (i.e. on paper). They are only stored as ".POF documents on the organisation's intranet: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific format or media for documenting or storing audit reports, as long as they are controlled according to clause 7.5.
* The audit programme mandates auditors must be independent of the areas they audit in order to satisfy the requirements of ISO/IEC 27001:2022: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for auditor independence, as long as the audit is conducted objectively and impartially, in accordance with ISO 19011:20182.
* The audit programme does not reference audit methods or audit responsibilities: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for referencing audit methods or audit responsibilities in the audit programme, as long as they are defined and documented according to ISO 19011:20182.
* The audit process states the results of audits will be made available to 'relevant' managers, not top management: This statement would not cause concern because it does not imply any nonconformity with ISO/IEC 27001:2022 requirements. The standard does not prescribe any specific requirement for communicating the results of audits to top management, as long as they are reported to the relevant parties and used as an input for management review, according to clause 9.3.
References: ISO/IEC 27001:2022 - Information technology - Security techniques - Information security management systems - Requirements, ISO 19011:2018 - Guidelines for auditing management systems

質問 # 23
Which of the following is a technical security measure?

• A. Safe storage of backups
• B. Security policy
• C. Encryption
• D. User role profiles.

正解：C

解説：
Explanation
A technical security measure is a measure that uses technology to protect information assets from unauthorized access, modification, disclosure, or destruction. Examples of technical security measures include encryption, firewalls, antivirus software, authentication systems, and access control mechanisms. Encryption is a technical security measure that transforms information into an unreadable format using a secret key or algorithm.
Encryption protects the confidentiality, integrity, and availability of information by preventing unauthorized parties from accessing or altering it. Therefore, encryption is the correct answer to this question. References: ISO/IEC 27000:2022, clause 3.48; ISO/IEC 27002:2022, clause 10.1.

質問 # 24
What is the difference between a restricted and confidential document?

• A. Restricted - to be shared among an authorized group
  Confidential - to be shared among named individuals
• B. Restricted - to be shared among named individuals
  Confidential - to be shared among an authorized group
• C. Restricted - to be shared among named individuals
  Confidential - to be shared across the organization only
• D. Restricted - to be shared among named individuals
  Confidential - to be shared with friends and family

正解：B

解説：
Explanation
The difference between a restricted and confidential document is that a restricted document is to be shared among named individuals, while a confidential document is to be shared among an authorized group.
Restricted and confidential are examples of information classification levels that indicate the sensitivity and value of information and the degree of protection required for it. Restricted documents contain information that could cause serious damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by specific individuals who have a legitimate need to know and are authorized by the information owner. Confidential documents contain information that could cause damage or harm to the organization or its stakeholders if disclosed to unauthorized persons. Therefore, they should only be accessed by a defined group of people who have a legitimate need to know and are authorized by the information owner. ISO/IEC 27001:2022 requires the organization to classify information in terms of legal requirements, value, criticality and sensitivity to unauthorized disclosure or modification (see clause A.8.2.1).
References: 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 Information Classification?

質問 # 25
Phishing is what type of Information Security Incident?

• A. Cracker/Hacker Attacks
• B. Private Incidents
• C. Technical Vulnerabilities
• D. Legal Incidents

正解：A

解説：
Phishing is a type of information security incident that falls under the category of cracker/hacker attacks. Phishing is a form of fraud that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. Phishing is a common and serious threat to information security, as it can lead to identity theft, financial loss, data breach, malware infection or other damages. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2). 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 Phishing?

質問 # 26
You are an audit team leader who has just completed a third-party audit of a mobile telecommunication provider. You are preparing your audit report and are just about to complete a section headed 'confidentiality'.
An auditor in training on your team asks you if there are any circumstances under which the confidential report can be released to third parties.
Which four of the following responses are false?

• A. The report can be released to third parties but only with the explicit, prior approval of the audit client
• B. Any auditor employed by the auditing organisation can access the audit report
• C. Our duty of confidentiality is not something that lasts forever. As a certification body, we can decide how long we wish to keep reports confidential. After this, they can be accessed by third parties making a subject access request
• D. If the third party has gained a legal notice for us to disclose the report then we must do so. In all such cases we would advise the audit client and, as appropriate, the auditee
• E. There are no circumstances under which the report can be released to a third party. Confidential means confidential and releasing the document would be a breach of trust
• F. Subcontracted auditors are considered to be third parties regarding confidentiality and are therefore typically bound by confidentiality agreements
• G. The starting position is always that third parties have no automatic right to access an audit report
• H. Although we advise the client the report is confidential we can decide to release it to third parties if we feel this is justified. We would always tell the client afterwards

正解：B、C、F、H

解説：
Explanation
The audit report is a confidential document that contains sensitive information about the auditee's ISMS and its performance. The audit team has a duty to protect the confidentiality of the audit report and only disclose it to authorized parties, such as the audit client, the certification body, and the accreditation body. Therefore, the following responses are false:
A: The audit team cannot decide to release the report to third parties without the consent of the audit client, as this would breach the confidentiality agreement and the audit code of conduct. The audit team should always inform the audit client before disclosing the report to any third party, and obtain their explicit, prior approval.
F: Not every auditor employed by the auditing organization can access the audit report, as this would violate the principle of need-to-know. Only auditors who are involved in the audit process, such as the audit team leader, the audit team members, the audit programme manager, and the certification decision maker, can access the audit report. Other auditors who are not related to the audit have no legitimate reason to access the report, and should be prevented from doing so by appropriate security measures.
G: The duty of confidentiality does not expire after a certain period of time, as this would compromise the trust and integrity of the audit process. The audit report remains confidential indefinitely, unless there is a legal or contractual obligation to disclose it, or the audit client agrees to release it. Third parties cannot access the audit report by making a subject access request, as this would infringe the privacy and data protection rights of the audit client and the auditee.
H: Subcontracted auditors are not considered to be third parties regarding confidentiality, as they are part of the audit team and have a contractual relationship with the auditing organization. Subcontracted auditors are typically bound by the same confidentiality agreement and audit code of conduct as the employed auditors, and have the same rights and responsibilities to access and protect the audit report.
References: =
ISO/IEC 27001:2022, clause 9.2, Internal audit
ISO/IEC 27006:2015, clause 7.2.3, Confidentiality
PECB Candidate Handbook ISO 27001 Lead Auditor, page 22, Audit Report
PECB Candidate Handbook ISO 27001 Lead Auditor, page 24, Audit Code of Conduct

質問 # 27
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. Integrity
• B. Accessibility
• C. Completeness
• D. Clarity
• E. Efficiency
• F. Availability
• G. Importance
• H. Confidentiality

正解：A、F、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 # 28
An employee caught temporarily storing an MP3 file in his workstation will not receive an IR.

• A. True
• B. False

正解：B

質問 # 29
During discussions with the individual(s) managing the audit programme of a certification body, the Management System Representative of the client organisation asks for a specific auditor for the certification audit. Select two of the following options for how the individual(s) managing the audit programme should respond.

• A. Advise the Management System Representative that his request can be accepted
• B. Advise the Management System Representative that the audit team selection is a decision that the audit programme manager needs to make based on the resources available
• C. Suggest asking the certification body management to permit the request
• D. Suggest that the Management System Representative chooses another certification body
• E. State that his request will be considered but may not be taken up

正解：B、E

解説：
Explanation
According to ISO/IEC 17021-1, which specifies the requirements for bodies providing audit and certification of management systems, a certification body should ensure that its auditors are competent, impartial, and independent from the auditee organization2. Therefore, if a Management System Representative of a client organization asks for a specific auditor for the certification audit, the individual(s) managing the audit programme should respond in a way that does not compromise these principles or create any conflict of interest or undue influence2. Two possible ways to respond are to state that his request will be considered but may not be taken up, as there may be other factors that affect the auditor selection process; or to advise him that the audit team selection is a decision that the audit programme manager needs to make based on the resources available, such as auditor availability, competence, location, etc2. The other options are not suitable ways to respond in this situation. For example, advising him that his request can be accepted may raise doubts about the objectivity and credibility of the auditor and the certification body; suggesting that he chooses another certification body may imply that his request is unreasonable or unethical; and suggesting asking the certification body management to permit his request may suggest that there is room for negotiation or manipulation in auditor selection2. References: ISO/IEC 17021-1:2015 - Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements

質問 # 30
You are an experienced ISMS audit team leader providing instruction to a class of auditors in training. The subject of today's lesson is the management of information security risk in accordance with the requirements of ISO/IEC 27001:2022.
You provide the class with a series of activities. You then ask the class to sort these activities into the order in which they appear in the standard.
What is the correct sequence they should report back to you?

正解：

解説：

Explanation:
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The correct sequence of activities for the management of information security risk in accordance with the requirements of ISO/IEC 27001:2022 is as follows:
1st: Create and maintain information security risk criteria 2nd: Identify the risks that need to be considered when planning for the information security management system 3rd: Assess the potential consequences that would arise if the risk were to materialise 4th: Select appropriate risk treatment options 5th: Carry out information security risk assessments at planned intervals 6th: Consider the results of risk assessment and the status of the risk treatment plan at management review This sequence is based on the information security risk management process described in ISO/IEC
27001:2022 clause 6.1, which includes the following activities:
establishing and maintaining information security risk criteria;
ensuring that repeated information security risk assessments produce consistent, valid and comparable results; identifying the information security risks; analyzing the information security risks; evaluating the information security risks; treating the information security risks; accepting the information security risks and the residual information security risks; communicating and consulting with stakeholders throughout the process; monitoring and reviewing the information security risks and the risk treatment plan.
References:
ISO/IEC 27001:2022, clause 6.1
[PECB Candidate Handbook ISO/IEC 27001 Lead Auditor], pages 14-15
ISO 27001 Risk Management in Plain English

質問 # 31
Which of the following statements are correct for Clean Desk Policy?

• A. Don't leave laptops without cable lock.
• B. Don't leave highly confidential items.
• C. Don't leave valuable items on your desk if you are not in your work area.
• D. Don't leave confidential documents on your desk.

正解：B、C、D

質問 # 32
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. 5.3 Segregation of duties
• B. 6.3 Information security awareness, education, and training
• C. 5.13 Labelling of information
• D. 6.4 Disciplinary process
• E. 5.6 Contact with special interest groups
• F. 5.34 Privacy and protection of personal identifiable information (PII)
• G. 5.11 Return of assets
• H. 5.32 Intellectual property rights

正解：B、C、F

解説：
Explanation
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.
References:
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 # 33
You have just completed a scheduled information security audit of your organisation when the IT Manager approaches you and asks for your assistance in the revision of the company's risk management process.
He is attempting to update the current documentation to make it easier for other managers to understand, however, it is clear from your discussion he is confusing several key terms.
You ask him to match each of the descriptions with the appropriate risk term. What should the correct answers be?

正解：

解説：

Explanation
The correct answers for matching each of the descriptions with the appropriate risk term are:
The strategy chosen to respond to a specific information security risk: This is a definition of information security risk treatment. According to ISO/IEC 27000:2022, information security risk treatment is "the process of selecting and implementing measures to modify the information security risk" Section 3.33.
The effect of uncertainty on information security objectives: This is a definition of information security risk. According to ISO/IEC 27000:2022, information security risk is "the effect of uncertainty on information security objectives" Section 3.32.
The requirements against which information security risks are evaluated: This is a definition of information security risk criteria. According to ISO/IEC 27000:2022, information security risk criteria are "the terms of reference by which the significance of information security risks is assessed" Section
3.31.
A definition of the overall level of information security risk that is considered to be tolerable: This is a definition of information security risk acceptance criteria. According to ISO/IEC 27000:2022, information security risk acceptance criteria are "the level of information security risk that is acceptable" Section 3.30.

質問 # 34
Scenario 9: UpNet, a networking company, has been certified against ISO/IEC 27001. It provides network security, virtualization, cloud computing, network hardware, network management software, and networking technologies.
The company's recognition has increased drastically since gaining ISO/IEC 27001 certification. The certification confirmed the maturity of UpNefs operations and its compliance with a widely recognized and accepted standard.
But not everything ended after the certification. UpNet continually reviewed and enhanced its security controls and the overall effectiveness and efficiency of the ISMS by conducting internal audits. The top management was not willing to employ a full-time team of internal auditors, so they decided to outsource the internal audit function. This form of internal audits ensured independence, objectivity, and that they had an advisory role about the continual improvement of the ISMS.
Not long after the initial certification audit, the company created a new department specialized in data and storage products. They offered routers and switches optimized for data centers and software-based networking devices, such as network virtualization and network security appliances. This caused changes to the operations of the other departments already covered in the ISMS certification scope.
Therefore. UpNet initiated a risk assessment process and an internal audit. Following the internal audit result, the company confirmed the effectiveness and efficiency of the existing and new processes and controls.
The top management decided to include the new department in the certification scope since it complies with ISO/IEC 27001 requirements. UpNet announced that it is ISO/IEC 27001 certified and the certification scope encompasses the whole company.
One year after the initial certification audit, the certification body conducted another audit of UpNefs ISMS.
This audit aimed to determine the UpNefs ISMS fulfillment of specified ISO/IEC 27001 requirements and ensure that the ISMS is being continually improved. The audit team confirmed that the certified ISMS continues to fulfill the requirements of the standard. Nonetheless, the new department caused a significant impact on governing the management system. Moreover, the certification body was not informed about any changes. Thus, the UpNefs certification was suspended.
Based on the scenario above, answer the following question:
UpNet outsourced the internal audit function, as provided in scenario 9. Does it impact the internal audit process?

• A. Yes, it increases the independence and impartiality of the internal audit because auditors do not have operational roles related to the ISMS
• B. No, internal audits do not necessarily have to be independent and objective because they have an advisory role
• C. No, because the internal audit process can comprise more than an audit program

正解：A

解説：
Yes, outsourcing the internal audit function can positively impact the internal audit process by increasing its independence and impartiality. This helps ensure that the internal audits are conducted without any bias or influence from the company's internal management.

質問 # 35
You are performing an ISMS audit at a residential nursing home called ABC that provides healthcare services.
The next step in your audit plan is to verify the information security of ABC's healthcare mobile app development, support, and lifecycle process. During the audit, you learned the organisation outsourced the mobile app development to a professional software development organisation with CMMI Level 5, ITSM (ISO/IEC 20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certified.
The IT Manager presents the software security management procedure and summarises the process as follows:
The mobile app development shall adopt "security-by-design" and "security-by-default" principles, as a minimum. The following security functions for personal data protection shall be available:
Access control.
Personal data encryption, i.e., Advanced Encryption Standard (AES) algorithm, key lengths: 256 bits; and Personal data pseudonymization.
Vulnerability checked and no security backdoor
You sample the latest Mobile App Test report - Reference ID: 0098, details as follows:


You would like to investigate other areas further to collect more audit evidence. Select three options that will not be in your audit trail.

• A. Collect more evidence to determine the number of users of ABC's healthcare mobile app. (relevant to clause 4.2)
• B. Collect more evidence on how the organisation performs testing of personal data handling. (Relevant to control A.5.34)
• C. Collect more evidence by downloading and testing the mobile app on your phone. (Relevant to control A.8.1)
• D. Collect more evidence on how much residents' family members pay to install ABC's healthcare mobile app. (Relevant to clause 4.2)
• E. Collect more evidence on how the organisation manages information security in the selection of an external service provider. (Relevant to control A.5.19)
• F. Collect more evidence on how the developer trains its product support personnel. (Relevant to clause 7.2)
• G. Collect more evidence to verify the developer's CMMI Level 5, ITSM (ISO/IEC 20000-1), BCMS (ISO 22301) and ISMS (ISO/IEC 27001) certification. (Relevant to control A.5.21)
• H. Collect more evidence on the organisation's business continuity policy. (Relevant to control A.5.30)

正解：A、D、G

解説：
The three options that will not be in your audit trail are A, C, and H. These options are either not relevant to the information security of ABC's healthcare mobile app development, support, and lifecycle process, or not within the scope of your audit. The amount of money that residents' family members pay to install the app (A) and the number of users of the app are not related to the information security aspects or objectives of the ISMS1. The verification of the developer's certifications (H) is not your responsibility as an ISMS auditor, as you should rely on the competence and impartiality of the certification bodies that issued them2. The other options are relevant and within the scope of your audit, as they relate to the security functions, testing, policies, and procedures of the mobile app development, support, and lifecycle process13. References: 1:
ISO/IEC 27001:2022, Information technology - Security techniques - Information security management systems - Requirements, Clause 4.2 \n2: ISO/IEC 27006:2022, Information technology - Security techniques - Requirements for bodies providing audit and certification of information security management systems, Clause 4.1 \n3: PECB Certified ISO/IEC 27001 Lead Auditor Exam Preparation Guide, Domain 5:
Conducting an ISO/IEC 27001 audit

質問 # 36
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