Please match the following situations to the type of audit required.
正解:
Explanation:
* Top management requests auditors from the organisation's compliance department to audit the production process in order to ensure the final product meets quality requirements = First-party audit
* Auditors from the buyer's organisation audit their raw material supplier to ensure the supply fulfils the order and contract = Second-party audit
* Auditors from an independent certification body conduct an audit of the organisation to verify conformity with an ISO Standard for certification purposes = Third-party audit
* The organisation has been audited against two management system standards in one audit = Combined audit Explanation: According to the ISO/IEC 27001 standard, there are three main categories of audits: internal, external, and certification1. An internal audit, also known as a first-party audit, is an audit conducted by the organisation itself, or by an external party on its behalf, for management review and other internal purposes12. An external audit, also known as a second-party audit, is an audit conducted by a customer or other interested party on a supplier or contractor to verify compliance with contractual or other requirements12. A certification audit, also known as a third-party audit, is an audit conducted by an independent certification body to verify conformity with an ISO standard for certification purposes12. A combined audit is an audit where two or more management system standards are audited together3.
References: 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 192: ISO 27001 Audit Types and How They are Conducted23: The Four ISO 27001 Audit Categories, Explained4
質問 2:
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:
Explanation:
A screenshot of a chat Description automatically generated
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 3:
Scenario 7: Lawsy is a leading law firm with offices in New Jersey and New York City. It has over 50 attorneys offering sophisticated legal services to clients in business and commercial law, intellectual property, banking, and financial services. They believe they have a comfortable position in the market thanks to their commitment to implement information security best practices and remain up to date with technological developments.
Lawsy has implemented, evaluated, and conducted internal audits for an ISMS rigorously for two years now.
Now, they have applied for ISO/IEC 27001 certification to ISMA, a well-known and trusted certification body.
During stage 1 audit, the audit team reviewed all the ISMS documents created during the implementation.
They also reviewed and evaluated the records from management reviews and internal audits.
Lawsy submitted records of evidence that corrective actions on nonconformities were performed when necessary, so the audit team interviewed the internal auditor. The interview validated the adequacy and frequency of the internal audits by providing detailed insight into the internal audit plan and procedures.
The audit team continued with the verification of strategic documents, including the information security policy and risk evaluation criteria. During the information security policy review, the team noticed inconsistencies between the documented information describing governance framework (i.e., the information security policy) and the procedures.
Although the employees were allowed to take the laptops outside the workplace, Lawsy did not have procedures in place regarding the use of laptops in such cases. The policy only provided general information about the use of laptops. The company relied on employees' common knowledge to protect the confidentiality and integrity of information stored in the laptops. This issue was documented in the stage 1 audit report.
Upon completing stage 1 audit, the audit team leader prepared the audit plan, which addressed the audit objectives, scope, criteria, and procedures.
During stage 2 audit, the audit team interviewed the information security manager, who drafted the information security policy. He justified the Issue identified in stage 1 by stating that Lawsy conducts mandatory information security training and awareness sessions every three months.
Following the interview, the audit team examined 15 employee training records (out of 50) and concluded that Lawsy meets requirements of ISO/IEC 27001 related to training and awareness. To support this conclusion, they photocopied the examined employee training records.
Based on the scenario above, answer the following question:
The audit team concluded that Lawsy meets the ISO/IEC 27001's requirements related to training and awareness by examining 15 out of 50 employee training records, as provided in scenario 7. This is a risk or error related to:
A. Sampling
B. The auditor
C. The sample size
正解:C
解説: (Pass4Test メンバーにのみ表示されます)
質問 4:
Which four of the following statements about audit reports are true?
A. Audit reports should always be reviewed by the client, dated, and signed as 'accepted'
B. Audit reports should include or refer to the audit plan
C. Audit reports should only evidence nonconformity
D. Audit reports should be produced by the audit team leader with input from the audit team
E. Audit reports that are no longer required can be destroyed as part of the organisation's general waste
F. Audit reports should be produced within an agreed timescale
G. Audit reports should be assumed suitable for general circulation unless they are specifically marked confidential
H. Audit reports should be sent to the organisation's top management first because their contents could be embarrassing
正解:A,B,D,F
解説: (Pass4Test メンバーにのみ表示されます)
質問 5:
Which one of the following conclusions in the audit report is not required by the certification body when deciding to grant certification?
A. The plans to address corrective actions related to minor nonconformities have been accepted
B. The organisation fully complies with all legal and other requirements applicable to the Information Security Management System.
C. The scope of certification has been fulfilled
D. The corrections taken by the organisation related to major nonconformities have been accepted.
正解:B
解説: (Pass4Test メンバーにのみ表示されます)
Ozaki -
PECBは試験出題見直に対応しているISO-IEC-27001-Lead-Auditor問題集が素晴らしい