ISO-IEC-27001-Lead-Auditor Exam Dumps : PECB Certified ISO/IEC 27001 2022 Lead Auditor exam

The three options of the correct responses of an audit team leader to the request of the Technical Director are:

• B. Advise the Technical Director that his request will be included in the audit report.
• D. Advise the Technical Director that the nonconformity must stand since the evidence obtained for it was clear.
• H. State that a follow up audit will be necessary to review the evidence for the updated Statement of Applicability.

• B. This response is correct because the audit team leader should document the request of the Technical Director and include it in the audit report, along with the audit findings and conclusions12. This will ensure transparency and traceability of the audit process and the audit results.
• D. This response is correct because the audit team leader should not withdraw the nonconformity based on the amended Statement of Applicability alone. The nonconformity was raised against clause 6.1.3.e of ISO 27001:2022, which requires the organisation to produce and maintain a risk treatment plan that defines how the information security risks are treated, including the controls selected and their implementation status34. The Statement of Applicability is only one part of the risk treatment plan, and it does not provide sufficient evidence that the controls have been implemented effectively. The audit team leader should base the nonconformity on the objective evidence obtained during the audit, not on the subjective claims of the auditee12.
• H. This response is correct because the audit team leader should state that a follow up audit will be necessary to review the evidence for the updated Statement of Applicability. A follow up audit is an audit that is conducted after a previous audit to verify the implementation and effectiveness of the corrective actions and/or opportunities for improvement that were agreed upon as a result of the previous audit56. The follow up audit should seek to ensure that the nonconformity has been effectively addressed and that the ISMS is compliant and effective. The follow up audit should also consider any new or changed risks or requirements that may affect the ISMS56.

References:

1: PECB Candidate Handbook - ISO 27001 Lead Auditor, page 25 2: ISO 19011:2018 - Guidelines for auditing management systems, clause 6.7 3: ISO/IEC 27001:2022 - Information technology — Security techniques — Information security management systems — Requirements, clause 6.1.3.e 4: ISO/IEC 27005:2022 - Information technology — Security techniques — Information security risk management, clause 8.3.2 5: PECB Candidate Handbook - ISO 27001 Lead Auditor, page 25 6: ISO 19011:2018 - Guidelines for auditing management systems, clause 6.7

According to ISO/IEC 27001:2022, which specifies the requirements for establishing, implementing, maintaining and continually improving an information security management system (ISMS), clause 8.1 requires an organization to plan, implement and control its processes needed to meet ISMS requirements2. This includes determining what needs to be done, how it will be done, who will do it, when it will be done, what resources are required, how performance will be evaluated, etc2. Therefore, if an ISMS auditor conducting a third-party surveillance audit of a telecom’s provider notes that there has been a significant increase in the number of switches failing their initial configuration test and being returned for reprogramming due to a recent ISMS upgrade that reduced access to work instructions, this indicates a nonconformity against clause 8.1 of ISO/IEC 27001:2022. The organization has failed to plan and control its operational processes effectively to ensure information security and quality2. The other options are not correct clauses to raise a nonconformity against based solely on this information. For example, clause 7.5 deals with documented information required by ISMS or determined by an organization as necessary for its effectiveness2, but it does not specify how many copies or formats of work instructions should be available; clause 10.2 deals with nonconformity and corrective action as a response to an identified problem or incident2, but it does not address how to prevent or avoid such problems or incidents in operational processes; clause 7.3 deals with awareness of ISMS policy, objectives, roles and responsibilities among persons doing work under an organization’s control2, but it does not relate to how work instructions are accessed or followed; clause 7.2 deals with competence of persons doing work under an organization’s control that affects its ISMS performance2, but it does not imply that lack of competence is caused by insufficient work instructions; clause 7.4 deals with communication about ISMS among internal and external interested parties2, but it does not cover how operational information is communicated within an organization. References: ISO/IEC 27001:2022 - Information technology – Security techniques – Information security management systems – Requirements

Auditors have the authority to object or even refuse an audit mandate if they believe that the audit duration proposed by the auditee is not sufficient to thoroughly assess the ISMS. It is crucial for the audit to be comprehensive enough to cover all necessary aspects of the system, ensuring its effectiveness and compliance.

References: ISO 19011:2018, Guidelines for auditing management systems