Pass Using ISO-IEC-27001-Lead-Auditor Exam Dumps

The best action to take in this scenario is to determine whether any additional effective arrangements are in place to verify individual access to secure areas, such as CCTV. This action is consistent with the audit principle of evidence-based approach, which requires the auditor to obtain sufficient and appropriate audit evidence to support the audit findings and conclusions1. By verifying the existence and effectiveness of other security controls, the auditor can assess the extent and impact of the nonconformity observed, and determine the appropriate audit finding and recommendation.

The other options are not the best actions to take in this scenario, because they are either premature or inappropriate. For example:

•Option A is inappropriate, because it is not the auditor’s role to suggest specific solutions or improvements to the auditee, but rather to report the audit findings and recommendations based on the audit criteria and objectives2. A large sign in reception may not be an effective or feasible solution to address the issue of tailgating, and it may not reflect the root cause of the problem.

•Option C is premature, because it assumes that the control A.7.1 ‘security perimeters’ is not adequately implemented, without verifying the existence and effectiveness of other security controls that may compensate for the observed nonconformity. The auditor should not jump to conclusions based on a single observation, but rather gather sufficient and appropriate audit evidence to support the audit finding3.

•Option D is premature, because it assumes that the control A.7.6 ‘working in secure areas’ is not adequately implemented, without verifying the existence and effectiveness of other security controls that may compensate for the observed nonconformity. The auditor should not jump to conclusions based on a single observation, but rather gather sufficient and appropriate audit evidence to support the audit finding3.

•Option E is inappropriate, because it is not related to the observed nonconformity, which is about the access control to secure areas, not the information security requirements agreed upon with the supplier. The auditor should not raise a nonconformity based on irrelevant or incorrect audit criteria4.

•Option F is inappropriate, because it is not the auditor’s role to suggest specific solutions or improvements to the auditee, but rather to report the audit findings and recommendations based on the audit criteria and objectives2. Requiring contractors to be accompanied at all times when accessing secure facilities may not be an effective or feasible solution to address the issue of tailgating, and it may not reflect the root cause of the problem.

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.

 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.

Comprehensive and Detailed In-Depth Explanation:

A. Correct Answer:

Joint audits involve multiple teams but require only one designated audit team leader to ensure:

Consistent audit methodology

Coordination among teams

Unified reporting structure

B. Incorrect:

While each team may have a coordinator, there is only one main leader responsible for the audit.

C. Incorrect:

ISO 19011 mandates the presence of a designated audit team leader in all audits.

Relevant Standard Reference:

ISO 19011:2018 Clause 5.5.5 (Assigning Responsibility to the Audit Team Leader)

A follow-up audit may be carried out where nonconformities are major. This is true because a major nonconformity is a situation that raises significant doubt about the ability of the organization’s management system to achieve its intended results, and therefore requires immediate corrective action. A follow-up audit is necessary to verify the effectiveness of the corrective action and the conformity of the management system12.

A follow-up audit may be carried out where nonconformities are minor. This is true because a minor nonconformity is a situation that does not affect the capability of the management system to achieve its intended results, but represents a deviation from the specified requirements. A follow-up audit may be conducted to check the implementation of the corrective action and the improvement of the management system12.

The outcomes of a follow-up audit should be reported to top management and the audit team leader who carried out the audit where the nonconformities were initially identified. This is true because the top management is responsible for ensuring the effectiveness and continual improvement of the management system, and the audit team leader is accountable for the audit process and the audit conclusions. The follow-up audit report should provide them with objective evidence of the status of the nonconformities and the corrective actions taken by the auditee13.

The outcomes of a follow-up audit should be reported to the individual managing the audit programme and the audit client. This is true because the individual managing the audit programme is responsible for planning, implementing, monitoring and reviewing the audit activities, and the audit client is the organization or person requesting an audit. The follow-up audit report should inform them of the results of the follow-up audit and any changes in the certification status of the auditee13.

References :=

ISO 19011:2022 Guidelines for auditing management systems

ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements

ISO/IEC 17021-1:2022 Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 1: Requirements