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

• Establishing the audit programme objectives, scope and criteria
• Determining the resources necessary for the audit programme, such as the audit team members, the budget, the time, the tools, etc.
• Selecting and appointing the audit team leaders and auditors
• Reviewing and approving the audit plans and arrangements
• Ensuring the effective communication and coordination among the audit programme stakeholders, such as the auditors, the auditees, the certification bodies, the accreditation bodies, etc.
• Keeping informed the accreditation body on the progress of the audit programme, especially in case of any significant changes, issues, or nonconformities
• Monitoring and reviewing the performance and results of the audit programme and the audit teams
• Evaluating the feedback and satisfaction of the auditees and other interested parties
• Identifying and implementing the opportunities for improvement of the audit programme

The individual(s) managing the audit programme are not responsible for the following tasks, which are delegated to the audit team leaders or the auditors12:

• Communicating with the auditee during the audit, such as conducting the opening and closing meetings, resolving any audit-related problems, reporting any audit findings, etc.
• Determining the legal requirements applicable to each audit, such as the confidentiality, the impartiality, the consent, the liability, etc.
• Defining the objectives, scope and criteria for an individual audit, which are derived from the audit programme and agreed with the auditee
• Defining the plan of an individual audit, which includes the audit schedule, the audit activities, the audit methods, the audit documents, etc.

References:

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

• 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

The only option that is not prohibited in acceptable use of information assets is C: company-wide e-mails with supervisor/TL permission. This option implies that the sender has obtained the necessary authorization from their supervisor or team leader to send an e-mail to all employees in the organization. This could be done for legitimate business purposes, such as announcing important news, events or updates that are relevant to everyone. However, this option should still be used sparingly and responsibly, as it could cause unnecessary disruption or annoyance to the recipients if abused or misused. The other options are prohibited in acceptable use of information assets, as they could violate the information security policies and procedures of the organization, as well as waste resources and bandwidth. Electronic chain letters (A) are messages that urge recipients to forward them to multiple other people, often with false or misleading claims or promises. They are considered spam and could contain malicious links or attachments that could compromise information security. E-mail copies to non-essential readers (B) are messages that are sent to recipients who do not need to receive them or have no interest in them. They are considered unnecessary and could clutter the inbox and distract the recipients from more important messages. Messages with very large attachments or to a large number of recipients (D) are messages that consume a lot of network resources and could affect the performance or availability of the information systems. They could also exceed the storage capacity or quota limits of the recipients’ mailboxes and cause problems for them. ISO/IEC 27001:2022 requires the organization to implement rules for acceptable use of assets (see clause A.8.1.3). References: CQI & IRCA Certified ISO/IEC 27001:2022 Lead Auditor Training Course, ISO/IEC 27001:2022 Information technology — Security techniques — Information security management systems — Requirements, What is Acceptable Use?

The benefits of implementing an ISMS are not limited to a reduction in information security risks, but also include improved business performance, customer satisfaction, legal compliance, and stakeholder confidence. The benefit of certifying an ISMS is not only to obtain contracts from governmental institutions, but also to demonstrate the organisation’s commitment to information security to other potential customers, partners, and regulators. The purpose of an ISMS is to apply a risk management process for preserving information security, which means identifying, analysing, evaluating, treating, monitoring, and reviewing the information security risks that the organisation faces. The purpose of an ISMS is not to demonstrate compliance with regulatory requirements, but rather to ensure that the organisation meets its own information security objectives and obligations.

References:

• ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB
• ISO/IEC 27001:2013 Information technology — Security techniques — Information security management systems — Requirements [Section 0.1] and [Section 1]