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This option is appropriate for inclusion in the closing meeting agenda, as it is a requirement of the ISO 19011 standard, which provides guidelines for auditing management systems, including ISMS12. The standard states that the audit team leader should advise the auditee of any situations encountered during the audit that may decrease the confidence that can be placed in the audit conclusions, such as limitations in the audit scope, access, or sampling3. The standard also states that the audit report should include a statement that the audit is based on a sample of the information available at the time of the audit, and that the audit does not provide absolute assurance of the conformity or effectiveness of the audited management system4. Therefore, the audit team leader should include a disclaimer in the closing meeting agenda to inform the auditee of the nature and limitations of the audit, and to avoid any misunderstandings or false expectations. The other options are not appropriate for inclusion in the closing meeting agenda, as they are either irrelevant, incorrect, or incomplete. For example:

•A detailed explanation of the certification body’s complaints process is not relevant for the closing meeting agenda, as it is not related to the audit findings or conclusions. The certification body’s complaints process should be communicated to the auditee before the audit, as part of the audit agreement or contract5.

•An explanation of the audit plan and its purpose is not correct for the closing meeting agenda, as it should have been done at the opening meeting or before the audit. The audit plan is a document that describes the scope, objectives, criteria, and methodology of the audit, as well as the audit schedule, the audit team, the audit locations, and the audit deliverables . The audit plan should be communicated and agreed with the auditee in advance, and any changes or deviations should be notified during the audit.

•Names of auditees associated with nonconformities are not complete for the closing meeting agenda, as they do not provide the details or the evidence of the nonconformities. The audit team leader should present the audit findings, which include the description, the audit criteria, and the audit evidence of each nonconformity, as well as the audit conclusions and the audit recommendation . The audit team leader should also avoid naming or blaming individuals, and focus on the processes and the system.

References: = 1: PECB Candidate Handbook - ISO/IEC 27001 Lead Auditor, page 222: ISO 19011:2018 Guidelines for auditing management systems, clause 13: ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.94: ISO 19011:2018 Guidelines for auditing management systems, clause 7.5.25: ISO/IEC 17021-1:2015 Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 1: Requirements, clause 9.8. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.1. : ISO/IEC 27007:2011 Information technology — Security techniques — Guidelines for information security management systems auditing, clause 6.2.1. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.2. : ISO 19011:2018 Guidelines for auditing management systems, clause 6.4.10. : ISO/IEC 27007:2011 Information technology — Security techniques — Guidelines for information security management systems auditing, clause 6.3.3.

Audit objectives are the specific purposes or goals that the customer or the certification body wants to achieve through the audit. They define what the audit intends to accomplish and provide the basis for planning and conducting the audit. Audit objectives may vary depending on the type, scope, and criteria of the audit, but they should be clear, measurable, and achievable.

Some examples of audit objectives for a third-party ISMS audit are:

Assess conformity with ISO/IEC 27001 requirements: This objective means that the audit aims to verify that the organisation’s ISMS meets the requirements of the ISO/IEC 27001 standard, which specifies the best practices for establishing, implementing, maintaining, and improving an information security management system. The audit will evaluate the organisation’s ISMS documentation, processes, controls, and performance against the standard’s clauses and annex A controls.

Confirm sites operating the ISMS: This objective means that the audit aims to confirm that the organisation’s ISMS covers all the relevant sites or locations where the organisation operates or provides its services. The audit will verify that the scope of the ISMS is accurate and consistent with the organisation’s context, objectives, and risks.

The other phrases are not audit objectives, but rather:

Evaluate customer processes and functions: This is not an audit objective, but rather a possible audit criterion or a requirement that the organisation’s processes and functions should meet. The audit criterion is the reference against which the audit evidence is compared to determine conformity or nonconformity. The audit criterion may include ISO/IEC 27001 requirements, customer requirements, or other applicable standards or regulations.

Fulfil the audit plan: This is not an audit objective, but rather a task or an activity that the auditor performs during the audit. The audit plan is a document that describes the arrangements and details of the audit, such as the objectives, scope, criteria, schedule, roles, and responsibilities. The auditor should follow and fulfil the audit plan to ensure that the audit is conducted effectively and efficiently.

Determine the scope of the ISMS: This is not an audit objective, but rather a prerequisite or an input for conducting the audit. The scope of the ISMS is the extent and boundaries of the information security management system within the organisation. It defines what processes, activities, locations, assets, and stakeholders are included or excluded from the ISMS. The scope of the ISMS should be determined by the organisation before applying for certification or undergoing an audit.

Review organisation efficiency: This is not an audit objective, but rather a possible outcome or a result of conducting an audit. The organisation efficiency is a measure of how well the organisation uses its resources to achieve its goals and objectives. The audit may help review and improve the organisation efficiency by identifying strengths, weaknesses, opportunities, and threats in its information security management system.

References:

ISO/IEC 27001:2022 Lead Auditor (Information Security Management Systems) objectives and content from Quality.org and PECB

ISO 19011:2018 Guidelines for auditing management systems [Section 5.3.1]

Comprehensive and Detailed In-Depth Explanation:

A. Correct Answer:

Independence is compromised when an auditor alters audit findings under pressure.

The audit team leader misrepresented compliance, violating ISO 19011’s principles of objectivity and integrity.

B. Incorrect:

Including anonymous evidence in an audit report is acceptable as long as it is verified.

C. Incorrect:

While revealing confidential information would be unethical, it was not mentioned in the scenario.

Relevant Standard Reference:

ISO 19011:2018 Clause 4 (Principles of Auditing: Independence and Objectivity)

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

Audit evidence can come from interviews, observations, and documentation.

Verbal evidence from top management is acceptable if documented and confirmed in writing.

A. Incorrect:

ISO 19011 allows verbal evidence as long as it is substantiated.

C. Incorrect:

Interviews alone are not sufficient—additional verification is required.

Relevant Standard Reference:

ISO 19011:2018 Clause 6.4.6 (Reviewing Documented Information)

Phishing is a type of information security incident that falls under the category of cracker/hacker attacks. Phishing is a form of fraud that uses deceptive emails or other messages to trick recipients into revealing sensitive information, such as passwords, credit card numbers, bank account details, etc. Phishing emails often impersonate legitimate organizations or individuals and create a sense of urgency or curiosity to lure the victims into clicking on malicious links, opening malicious attachments or providing personal information. Phishing is a common and serious threat to information security, as it can lead to identity theft, financial loss, data breach, malware infection or other damages. ISO/IEC 27001:2022 requires the organization to implement awareness and training programs to make users aware of the risks of social engineering attacks, such as phishing, and how to avoid them (see clause A.7.2.2). 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 Phishing?

According to ISO 19011:2018, which provides guidelines for auditing management systems, an opening meeting is a formal communication between the audit team and the auditee at the start of an audit1. The purpose of the opening meeting is to confirm the audit objectives, scope and criteria, introduce the audit team and their roles, confirm the audit plan and logistics, explain the audit methods and procedures, and establish the communication channels1. Therefore, if the Managing Director of the client organization invites the audit team to view a new company video lasting 45 minutes during the opening meeting of a Stage 2 audit, the audit team leader should respond in a way that does not compromise the effectiveness and efficiency of the audit or create any misunderstanding or conflict with the auditee. Two possible ways to respond are to advise the Managing Director that the audit team has to keep to the planned schedule, as there may be limited time and resources available for the audit; or to suggest that the video could be viewed during a refreshment break, if it is relevant and useful for the audit and does not interfere with other audit activities1. The other options are not appropriate responses for the audit team leader to make in this situation. For example, stating that the audit team leader will stay behind after the opening meeting to view the video on behalf of the team may imply that the video is not important or relevant for the rest of the audit team; inviting the Managing Director to the auditors’ hotel for a viewing that evening may create an impression of bias or favouritism; stating that the audit team will make a decision on the viewing at a later time may be vague or indecisive; and advising the Managing Director that the audit team agrees to his request may result in wasting valuable audit time or losing focus on the audit objectives1. References: ISO 19011:2018 - Guidelines for auditing management systems

The purpose of a follow-up audit is to verify the completion and effectiveness of corrective actions taken by the auditee in response to the nonconformities identified in a previous audit1. A follow-up audit is a type of audit that is conducted after an initial audit, and it focuses on the specific areas where nonconformities were found and corrective actions were agreed upon2. A follow-up audit can be conducted as a separate audit or as part of a scheduled audit, depending on the nature and severity of the nonconformities and the audit programme objectives3.

The other options are not the purpose of a follow-up audit, but rather the purpose of other types of audits. For example:

•Option A is the purpose of a performance audit, which is a type of audit that evaluates the effectiveness of the management system in achieving its intended results4.

•Option B is the purpose of a compliance audit, which is a type of audit that verifies the conformity of the management system with the specified requirements, such as the ISMS objectives5.

•Option C is the purpose of a process audit, which is a type of audit that examines the inputs, activities, outputs, and interactions of a specific process within the management system, such as the risk treatment process.

References: 1: ISO 19011:2018, 6.7; 2: ISO 19011:2018, 3.7; 3: ISO 19011:2018, 5.5.2; 4: ISO 19011:2018, 3.6; 5: ISO 19011:2018, 3.5; : ISO 19011:2018, 3.4; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : ISO 19011:2018; : [ISO 19011:2018]

Comprehensive and Detailed In-Depth Explanation:

B. Correct Answer:

Predictive analytics uses historical data, machine learning, and statistical models to predict future risk events.

It identifies patterns in security incidents, financial trends, and operational failures to anticipate risks before they occur.

A. Incorrect:

Real-time analysis is part of monitoring, but predictive analytics focuses on forecasting risks, not just real-time reporting.

C. Incorrect:

Data organization is essential but does not involve forecasting risks.

Relevant Standard Reference:

ISO 31000:2018 (Risk Management – Guidelines on Using Data Analytics in Risk Assessment)

The auditee is required to submit action plans that include detailed information on how every corrective action will be implemented. General statements are not sufficient; the action plans must specify the corrective actions in detail to ensure that the root causes of the nonconformities are addressed effectively.

References: ISO/IEC 27001:2013, Clause 10.1 (General) and ISO 19011:2018, Guidelines for auditing management systems.