According to ISO 27001:2022 Annex A Control 8.30, the organisation shall ensure that externally provided processes, products or services that are relevant to the information security management system are controlled. This includes developing and entering into licensing agreements that cover code ownership and intellectual property rights, and implementing appropriate contractual requirements related to secure design and coding in accordance with Annex A 8.25 and 8.2912 In this case, the organisation and the developer have performed security tests that failed, which indicates that the secure design and coding requirements of Annex A 8.29 were not met. The IT Manager explains that the encryption and pseudonymization functions failed because they slowed down the system and service performance, and that an extra 150% of resources are needed to cover this. However, this does not justify the acceptance of the test results by the Service Manager, who is not authorised to approve the test according to the software security management procedure. The Service Manager should have consulted with the IT Manager, who is the owner of the process, and followed the procedure for handling nonconformities and corrective actions. The Service Manager's decision to continue the service based on access control alone exposes the organisation to the risk of compromising the confidentiality, integrity, and availability of personal data processed by the mobile app. Therefore, there is a nonconformity (NC) with clause 8.1, control A.8.30. According to ISO 27001:2022 Clause 8.1, the organisation shall plan, implement and control the processes needed to meet information security requirements, and to implement the actions determined in Clause 6.1. The organisation shall also control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse effects, as necessary12 In this case, the organisation has not controlled the planned change of the mobile app from version 1.0 to version 1.01, which was a minor update provided by the outsourced developer in response to frequent ransomware attacks. The IT Manager explains that the developer performed an emergency release of the updated software, and gave a verbal guarantee that there will be no impact on any security functions. However, this is not sufficient to ensure that the change is properly assessed, tested, documented, and approved before deployment. The IT Manager should have followed the change management process and procedure, and verified that the updated software meets the security requirements and does not introduce any new vulnerabilities or risks. The IT Manager's reliance on his 20 years of information security experience and the developer's verbal guarantee is not a valid basis for skipping the re-testing of the software. Therefore, there is a nonconformity (NC) with clause 8.1. 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
Explanation: The words that best complete the sentence are assess and recommendation. The sentence would read as follows: "An audit plan is a statement of the intent of the audit team to assess all areas of the company with a view to determining a recommendation for certification approval." According to the web search results from my predefined tool, a third-party audit plan is a document that describes the scope, objectives, criteria, and methodology of an external audit conducted by an independent certification body to verify the conformity of an organization's ISMS with the ISO 27001 standard12. The audit plan also includes the audit schedule, the audit team, the audit locations, and the audit deliverables23. One of the main deliverables of a third-party audit is the audit report, which summarizes the audit findings, the audit conclusions, and the audit recommendation34. The audit recommendation is the opinion of the audit team on whether the organization's ISMS meets the certification requirements and whether the certification should be granted, maintained, suspended, or withdrawn45. Therefore, the purpose of the audit plan is to state the intention of the audit team to assess all areas of the company, meaning to evaluate the performance and effectiveness of the ISMS, and to determine a recommendation for certification approval, meaning to provide a judgment on the certification status of the ISMS. The other words in the options, such as verdict, permit, report, inspect, and question, do not accurately reflect the meaning of the audit plan. A verdict is a formal decision made by a judge or a jury, not by an audit team. A permit is a legal authorization to do something, not a certification of conformity. A report is a document that presents the audit results, not the audit intention. An inspection is a visual examination of something, not a comprehensive assessment of an ISMS. A question is a request for information, not a determination of a recommendation.
Question 178
選擇兩個描述使用清單的優點的選項。
Correct Answer: C,D
A checklist is a tool that helps auditors to collect and verify information relevant to the audit objectives and scope. It can provide the following advantages: * Ensuring relevant audit trails are followed: A checklist can help auditors to identify and trace the sources of evidence that support the conformity or nonconformity of the audited criteria. It can also help auditors to avoid missing or overlooking any important aspects of the audit. * Ensuring the audit plan is implemented: A checklist can help auditors to follow and fulfil the audit plan, which describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. It can also help auditors to manage their time and resources effectively and efficiently. The other options are not advantages of using a checklist, but rather: * Using the same checklist for every audit without review: This is a disadvantage of using a checklist, as it can lead to a rigid and ineffective audit approach. A checklist should be tailored and adapted to each specific audit, taking into account the context, risks, and changes of the auditee and the audit criteria. A checklist should also be reviewed and updated periodically to ensure its validity and relevance. * Restricting interviews to nominated parties: This is a disadvantage of using a checklist, as it can limit the scope and depth of the audit. A checklist should not prevent auditors from interviewing other relevant parties or sources of information that may provide valuable evidence or insights for the audit. A checklist should be used as a guide, not as a constraint. * Reducing audit duration: This is not necessarily an advantage of using a checklist, as it depends on various factors, such as the complexity, size, and maturity of the auditee's ISMS, the availability and quality of evidence, the competence and experience of the auditors, and the level of cooperation and communication between the auditors and the auditee. A checklist may help reduce audit duration by improving efficiency and organization, but it may also increase audit duration by requiring more evidence or verification. * Not varying from the checklist when necessary: This is a disadvantage of using a checklist, as it can result in a superficial or incomplete audit. A checklist should not prevent auditors from exploring or investigating any issues or concerns that arise during the audit, even if they are not included in the checklist. A checklist should be used as a support, not as a substitute. 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 6.2.2]
According to ISO/IEC 27001, organizations must control planned changes and review the consequences of unintended changes in order to ensure continued alignment with information security requirements. In this scenario, the organization failed to perform appropriate testing after an emergency update to the mobile app, which constitutes a nonconformity with clause 8.1 of the standard. **References**: - ISO/IEC 27001 Lead Auditor Reference Materials - PECB Candidate Handbook for ISO 27001 Lead Auditor ISO/IEC 27001 requires that organizations adhere to their established procedures for software security management. The IT Manager's approval of the app despite failed security tests and lack of proper documentation for the new version indicates noncompliance with the procedure, thus reflecting a nonconformity. **References**: - ISO/IEC 27001 Lead Auditor Reference Materials - PECB Candidate Handbook for ISO 27001 Lead Auditor
Question 180
作為 ISMS 實施的一部分，行銷機構開發了自己的風險評估方法。這是可以接受的嗎？
Correct Answer: A
ISO/IEC 27001 does not mandate the use of a specific risk assessment methodology. Organizations are free to choose their own approach as long as it is systematic, consistent, and capable of producing valid and comparable results. This allows organizations, such as the marketing agency in the question, to adapt the methodology to suit their specific needs and business context, provided it complies with the requirements set out in the standard.
