PECB Updated ISO-IEC-27001-Lead-Auditor Exam Questions and Answers by saif

The triad refers to the three elements of information security: confidentiality, integrity and availability3. Technology is the glue that ties the triad together, as it provides the means to implement various controls and measures to protect information from unauthorized access, modification or loss3. References: ISO/IEC 27001:2022 Lead Auditor Training Course - BSI

The overall competence of the12:

• The audit scope and criteria: The audit scope defines the extent and boundaries of the audit, such as the locations, processes, functions, and time period to be audited. The audit criteria are the set of policies, procedures, standards, or requirements used as a reference against which the audit evidence is compared. The audit scope and criteria determine the complexity and extent of the audit, and thus influence the number and expertise of the auditors needed to cover all the relevant aspects of the audit.
• The overall competence of the audit team needed to achieve audit objectives: The audit team should have the appropriate knowledge, skills, and experience to conduct the audit effectively and efficiently, and to provide credible and reliable audit results. The audit team competence should include the following elements12:

The person responsible for managing the audit programme should not consider the following factors when deciding the size and composition of the audit team for a specific audit, as they are either irrelevant or inappropriate for the audit process12:

• Customer relationships: The audit team should not be influenced by any personal or professional relationships with the auditee or other interested parties, as this may compromise the objectivity and impartiality of the audit. The audit team should avoid any conflicts of interest or self-interest that may affect the audit results or the audit decisions.
• Seniority of the audit team leader: The audit team leader should be selected based on their competence and experience, not on their seniority or rank within the organization or the audit programme. The audit team leader should have the authority and responsibility to manage the audit team and the audit process, regardless of their seniority or position.
• The cost of the audit: The cost of the audit should not be the primary factor for determining the size and composition of the audit team, as this may compromise the quality and effectiveness of the audit. The audit team should have sufficient resources and time to conduct the audit in accordance with the audit objectives, scope, and criteria, and to provide accurate and reliable audit results and recommendations.
• The duration preferred by the auditee: The duration of the audit should be based on the audit objectives, scope, and criteria, and the availability and cooperation of the auditee, not on the preference or convenience of the auditee. The audit team should have enough time to conduct the audit in a thorough and systematic manner, and to collect and evaluate sufficient and relevant audit evidence.

References:

• ISO 19011:2018 - Guidelines for auditing management systems
• PECB Candidate Handbook ISO 27001 Lead Auditor, pages 19-20

According to the ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) course, the following actions should be taken when a nonconformity identified for completion before the follow-up audit is still outstanding:

• A. Report the failure to address the corrective action for the outstanding nonconformity to the organisation’s top management. This is part of the auditor’s responsibility to communicate the audit results and ensure that the audit objectives are met12.
• C. If the delay is justified agree on a revised date for clearing the nonconformity with the auditee/audit client. This is part of the auditor’s responsibility to verify the effectiveness of the corrective actions taken by the auditee and to close the nonconformity when the evidence is satisfactory12.
• E. Decide whether the delay in addressing the nonconformity is justified. This is part of the auditor’s responsibility to evaluate the evidence presented by the auditee and to use professional judgement and objectivity to determine the validity of the reasons for the delay12.
• G. Note the nonconformity is still outstanding and follow audit trails to determine why. This is part of the auditor’s responsibility to collect and verify audit evidence and to identify the root causes of the nonconformity12.

References:

• 1: ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) course, CQI and IRCA Certified Training, 1
• 2: ISO/IEC 27001 Lead Auditor Training Course, PECB, 2