PECB ISO-IEC-27001-Lead-Auditor Actual Questions

Confidentiality is one of the principles of audit conduct that auditors should adhere to when performing audits. Confidentiality means that auditors should exercise discretion in the use and protection of information acquired in the course of their duties3. Auditors should respect the intellectual property rights of the auditee and other parties involved in the audit, and should not disclose any information that is sensitive, proprietary, or confidential without prior approval from the auditee or other authorized parties3. Auditors should also obtain the auditee’s permission before using a camera or recording equipment during an audit, as these devices may capture confidential information or infringe on the privacy of individuals3. Therefore, these two options correctly state the function of confidentiality in an audit. The other options are either incorrect or irrelevant to confidentiality. For example, auditors are not forced by regulatory requirements to maintain confidentiality in an audit, but rather by ethical obligations and contractual agreements3. Observers in an audit team can access confidential information if they have signed a confidentiality agreement and have been authorized by the auditee3. Audit information can be used for improving personal competence by the auditor only if it does not compromise confidentiality or conflict with other interests3. As an auditor is always accompanied by a guide, there is still a risk to the auditee’s sensitive information if the guide is not trustworthy or authorized to access such information3. References: ISO 19011:2018 - Guidelines for auditing management systems

According to ISO/IEC 17021-1:2015, which specifies the requirements for bodies providing audit and certification of management systems, clause 9.4.9 requires the certification body to make a certification decision based on the information obtained during the audit and any other relevant information1. The certification body should also consider the effectiveness of the corrective actions taken by the auditee to address any nonconformities identified during the audit1. Therefore, when making a recommendation to the audit programme manager, an ISMS auditor should consider the nature and severity of the nonconformities and the proposed corrective actions.

Based on the scenario above, the auditor should recommend certification after their approval of the proposed corrective action plan and recommend that the findings can be closed out at a surveillance audit in 1 year. The auditor should provide the following justification for their recommendation:

Justification: This recommendation is appropriate because it reflects the fact that the auditee has only two minor nonconformities and one opportunity for improvement, which do not indicate a significant or systemic failure of their ISMS. A minor nonconformity is defined as a failure to achieve one or more requirements of ISO/IEC 27001:2022 or a situation which raises significant doubt about the ability of an ISMS process to achieve its intended output, but does not affect its overall effectiveness or conformity2. An opportunity for improvement is defined as a suggestion for improvement beyond what is required by ISO/IEC 27001:20222. Therefore, these findings do not prevent or preclude certification, as long as they are addressed by appropriate corrective actions within a reasonable time frame. The auditor should approve the proposed corrective action plan before recommending certification, to ensure that it is realistic, achievable, and effective. The auditor should also recommend that the findings can be closed out at a surveillance audit in 1 year, to verify that the corrective actions have been implemented and are working as intended.

The other options are not valid recommendations for the audit programme manager, as they are either too lenient or too strict for the given scenario. For example:

Recommend certification immediately: This option is not valid because it implies that the auditor ignores or accepts the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182, which provides guidelines for auditing management systems. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to consider the effectiveness of the corrective actions taken by the auditee before making a certification decision.

Recommend that a full scope re-audit is required within 6 months: This option is not valid because it implies that the auditor overreacts or exaggerates the nonconformities, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a re-audit is necessary based on the nature and extent of nonconformities and other relevant factors. A full scope re-audit is usually reserved for major nonconformities or multiple minor nonconformities that indicate a serious or widespread failure of an ISMS.

Recommend that an unannounced audit is carried out at a future date: This option is not valid because it implies that the auditor distrusts or doubts the auditee’s commitment or capability to implement corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to conduct unannounced audits only under certain conditions, such as when there are indications of serious problems with an ISMS or when required by sector-specific schemes.

Recommend that a partial audit is required within 3 months: This option is not valid because it implies that the auditor imposes or prescribes a specific time frame or scope for verifying corrective actions, which is contrary to the audit principles and objectives of ISO 19011:20182. It also contradicts the requirement of ISO/IEC 17021-1:20151, which requires the certification body to determine whether a partial audit is necessary based on the nature and extent of nonconformities and other relevant factors. A partial audit may be appropriate for minor nonconformities, but the time frame and scope should be agreed upon with the auditee and based on the proposed corrective action plan.

Yes, this action is acceptable. The internal audits being outsourced ensure independence and objectivity and allow the audit function to serve its advisory role effectively, in line with ISO/IEC 27001 requirements. The independence enhances the credibility and reliability of the audit results.