PECB ISO-IEC-27001-Lead-Auditor Exam With Confidence Using Practice Dumps

According to the PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, the audit reports should be produced by the audit team leader with input from the audit team, as they are responsible for collecting and analysing the audit evidence1. The audit reports should also include or refer to the audit plan, as it provides the basis for the audit objectives, scope, criteria, and methodology2. Furthermore, the audit reports should be produced within an agreed timescale, as it is part of the audit programme management and ensures timely communication of the audit results3. Additionally, the audit reports should always be reviewed by the client, dated, and signed as ‘accepted’, as it confirms the audit completion and the formal agreement on the audit findings and conclusions4.

The other statements are false because:

• Audit reports should not be sent to the organisation’s top management first because their contents could be embarrassing, as this would compromise the audit impartiality and confidentiality5. Audit reports should be distributed according to the audit programme procedures and the audit plan.
• Audit reports should not be assumed suitable for general circulation unless they are specifically marked confidential, as this would violate the audit confidentiality and the protection of personal information. Audit reports should be treated as confidential documents and only shared with the authorised parties.
• Audit reports should not only evidence nonconformity, as this would limit the audit scope and value. Audit reports should also evidence conformity, improvement opportunities, good practices, and audit observations.
• Audit reports that are no longer required should not be destroyed as part of the organisation’s general waste, as this would pose a risk to the audit confidentiality and the information security. Audit reports should be retained, disposed, or destroyed according to the audit programme procedures and the applicable legal requirements.

References: 1: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 32, section 4.4.32: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.43: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 31, section 4.4.14: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 34, section 4.4.55: PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 32, section 4.4.3. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 33, section 4.4.4. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 24, section 4.3.1. : PECB Candidate Handbook for ISO/IEC 27001 Lead Auditor, page 34, section 4.4.5.

The two true statements are B and E. According to ISO 19011:2022, the audit plan describes the arrangements for a set of one or more audits planned for a specific time frame and directed towards a specific purpose1, while the audit programme describes the activities and arrangements for an audit2. The other options are either false or irrelevant. The responsibility for managing the audit programme rests with the audit programme manager, not the audit team leader (A)3. The audit plan can be changed during the conducting of the audit if necessary, with the agreement of the audit client and the auditee ©4. The audit programme and the audit plan are not the same thing, so D and F are incorrect. References: 1: ISO 19011:2022, Guidelines for auditing management systems, Clause 3.8 \n2: ISO 19011:2022, Guidelines for auditing management systems, Clause 3.9 \n3: ISO 19011:2022, Guidelines for auditing management systems, Clause 5.3.1 \n4: ISO 19011:2022, Guidelines for auditing management systems, Clause 6.4.2

The correct options for how the auditor should respond are:

• A. Advise the MSR that an extension of the scope may be incorporated but will have to go through established procedures
• D. Determine whether the Management System covers the processes at the new site and, if so, proceed with the audit

These options are consistent with the ISO/IEC 27006:2015 standard, which states that any changes to the scope of certification should be notified by the client to the certification body, and that the certification body should evaluate and decide on these changes in accordance with its procedures1. The auditor should also verify that the ISMS is implemented and maintained at all sites included in the scope of certification1.

The other options are not appropriate for how the auditor should respond, because:

• B. Advise the MSR that the audit scope has been determined based on their initial application so the audit has to proceed as planned: This option is too rigid and does not allow for any flexibility or adaptation to the client’s situation. The auditor should be open to consider any changes to the scope of certification that may have occurred since the initial application, as long as they are properly notified and evaluated by the certification body.
• C. Suggest that the MSR cancels the audit contract and reapplies for the new situation: This option is too drastic and unnecessary, as it would cause delays and costs for both the client and the certification body. The auditor should not suggest that the client cancels the audit contract, but rather that they follow the established procedures for requesting and approving an extension of the scope of certification.
• E. Advise the MSR that, within the existing scope, the new work area can be included without any problem: This option is too lenient and does not ensure that the new work area meets the requirements of ISO/IEC 27001 and the ISMS. The auditor should not assume that the new work area can be included within the existing scope without any problem, but rather that they need to verify that the ISMS is implemented and maintained at the new site, and that any changes to the scope of certification are approved by the certification body.
• F. Confirm that the auditor will advise the auditee that the audit scope will be revised to include the new work area: This option is too presumptuous and does not respect the authority of the certification body. The auditor should not confirm that they will revise the audit scope to include the new work area, but rather that they will advise the certification body of the client’s request for an extension of the scope of certification, and wait for their decision.