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Free ISO/IEC 27001 Lead Auditor Exam Braindumps (page: 18)

Page 17 of 41
PDF with 160 Questions

Which of the following can be considered as a minor nonconformity?

  1. The organization has established access control measures limiting access to sensitive data; however, employees are not regularly trained to recognize phishing attempts, increasing the risk of malware infiltration and data breaches
  2. The organization has implemented a password policy requiring complex passwords, but the system lacks multi-factor authentication, leaving accounts vulnerable to unauthorized access in case of password compromise
  3. The organization has communicated its information security policy, including a framework for objectives and action principles. The policy considers business characteristics, and legal, regulatory, and contractual requirements, but lacks reference to continual ISMS improvement

Answer(s): C

Explanation:

Minor nonconformities are typically less severe issues that do not significantly affect the overall system's ability to meet the required standards but still need to be addressed. In option C, the information security policy lacks reference to continual ISMS improvement, which is an important element under ISO/IEC 27001. While this is a shortcoming, it is considered a minor nonconformity since the policy addresses other essential elements like objectives and compliance requirements. The issue can be easily corrected without fundamentally affecting the effectiveness of the ISMS.



Scenario: Tessa, Malik, and Michael are an audit team of independent and qualified experts in the field of security, compliance, and business planning and strategies. They are assigned to conduct a certification audit in Clastus, a large web design company. They have previously shown excellent work ethics, including impartiality and objectiveness, while conducting audits. This time, Clastus is positive that they will be one step ahead if they get certified against ISO/IEC 27001.

Tessa, the audit team leader, has expertise in auditing and a very successful background in IT-related issues, compliance, and governance. Malik has an organizational planning and risk management background. His expertise relies on the level of synthesis and analysis of an organizations security controls and its risk tolerance in accurately characterizing the risk level within an organization. On the other hand, Michael is an expert in the practical security of controls assessment by following rigorous standardized programs.

After performing the required auditing activities, Tessa initiated an audit team meeting. They analyzed one of Michael's findings to decide on the issue objectively and accurately. The issue Michael had encountered was a minor nonconformity in the organizations daily operations, which he believed was caused by one of the organization's IT technicians. As such, Tessa met with the top management and told them who was responsible for the nonconformity after they inquired about the names of the persons responsible.

To facilitate clarity and understanding, Tessa conducted the closing meeting on the last day of the audit. During this meeting, she presented the identified nonconformities to the Clastus management. However, Tessa received advice to avoid providing unnecessary evidence in the audit report for the Clastus certification audit, ensuring that the report remains concise and focused on the critical findings.

Based on the evidence examined, the audit team drafted the audit conclusions and decided that two areas of the organization must be audited before the certification can be granted. These decisions were later presented to the auditee, who did not accept the findings and proposed to provide additional information. Despite the auditee's comments, the auditors, having already decided on the certification recommendation, did not accept the additional information. The auditee's top management insisted that the audit conclusions did not represent reality, but the audit team remained firm in their decision.

Based on the scenario above, answer the following question:

Based on the decision of the audit team, what is the next step that Clastus should take?

  1. Submit action plans
  2. Evaluate corrective actions
  3. Perform a follow-up of action plans

Answer(s): A

Explanation:

In the scenario, the audit team has identified two areas that must be audited before certification can be granted. Since the audit team has presented their conclusions and the auditee (Clastus) disagreed, the next logical step for Clastus is to submit action plans. These plans should outline how Clastus intends to address the nonconformities or issues identified during the audit. Action plans typically include corrective actions, timelines, and responsible parties to resolve the identified issues. Once these action plans are submitted and reviewed, further audits or evaluations may be required to ensure compliance before certification is granted.



Scenario: Tessa, Malik, and Michael are an audit team of independent and qualified experts in the field of security, compliance, and business planning and strategies. They are assigned to conduct a certification audit in Clastus, a large web design company. They have previously shown excellent work ethics, including impartiality and objectiveness, while conducting audits. This time, Clastus is positive that they will be one step ahead if they get certified against ISO/IEC 27001.

Tessa, the audit team leader, has expertise in auditing and a very successful background in IT-related issues, compliance, and governance. Malik has an organizational planning and risk management background. His expertise relies on the level of synthesis and analysis of an organizations security controls and its risk tolerance in accurately characterizing the risk level within an organization. On the other hand, Michael is an expert in the practical security of controls assessment by following rigorous standardized programs.

After performing the required auditing activities, Tessa initiated an audit team meeting. They analyzed one of Michael's findings to decide on the issue objectively and accurately. The issue Michael had encountered was a minor nonconformity in the organizations daily operations, which he believed was caused by one of the organization's IT technicians. As such, Tessa met with the top management and told them who was responsible for the nonconformity after they inquired about the names of the persons responsible.

To facilitate clarity and understanding, Tessa conducted the closing meeting on the last day of the audit. During this meeting, she presented the identified nonconformities to the Clastus management. However, Tessa received advice to avoid providing unnecessary evidence in the audit report for the Clastus certification audit, ensuring that the report remains concise and focused on the critical findings.

Based on the evidence examined, the audit team drafted the audit conclusions and decided that two areas of the organization must be audited before the certification can be granted. These decisions were later presented to the auditee, who did not accept the findings and proposed to provide additional information. Despite the auditee's comments, the auditors, having already decided on the certification recommendation, did not accept the additional information. The auditee's top management insisted that the audit conclusions did not represent reality, but the audit team remained firm in their decision.

According to scenario, the audit team did not accept the auditee's comments because they had already taken the certification recommendation decision. Is this acceptable?

  1. Yes, when the audit team decides on a certification recommendation, they cannot accept any additional information
  2. No, the auditee can provide additional information if they disagree with the certification recommendation
  3. No, the auditor should not consider the revisions that resulted from discussions with the auditee in the certification recommendation decision

Answer(s): B

Explanation:

In this scenario, the auditee (Clastus) disagreed with the audit team's findings and wished to provide additional information. It is important to note that auditors should remain open to receiving additional information from the auditee, especially if it has the potential to address the nonconformities or clarify misunderstandings. Once the audit team has made a certification recommendation, it is still appropriate to consider any new, relevant information provided by the auditee, which could potentially affect the decision. Refusing to consider this information may limit the audit’s fairness and objectivity. Therefore, it is essential that the audit team remains flexible and reassesses their conclusions if additional evidence is presented that could alter the outcome.



Scenario: Tessa, Malik, and Michael are an audit team of independent and qualified experts in the field of security, compliance, and business planning and strategies. They are assigned to conduct a certification audit in Clastus, a large web design company. They have previously shown excellent work ethics, including impartiality and objectiveness, while conducting audits. This time, Clastus is positive that they will be one step ahead if they get certified against ISO/IEC 27001.

Tessa, the audit team leader, has expertise in auditing and a very successful background in IT-related issues, compliance, and governance. Malik has an organizational planning and risk management background. His expertise relies on the level of synthesis and analysis of an organizations security controls and its risk tolerance in accurately characterizing the risk level within an organization. On the other hand, Michael is an expert in the practical security of controls assessment by following rigorous standardized programs.

After performing the required auditing activities, Tessa initiated an audit team meeting. They analyzed one of Michael's findings to decide on the issue objectively and accurately. The issue Michael had encountered was a minor nonconformity in the organizations daily operations, which he believed was caused by one of the organization's IT technicians. As such, Tessa met with the top management and told them who was responsible for the nonconformity after they inquired about the names of the persons responsible.

To facilitate clarity and understanding, Tessa conducted the closing meeting on the last day of the audit. During this meeting, she presented the identified nonconformities to the Clastus management. However, Tessa received advice to avoid providing unnecessary evidence in the audit report for the Clastus certification audit, ensuring that the report remains concise and focused on the critical findings.

Based on the evidence examined, the audit team drafted the audit conclusions and decided that two areas of the organization must be audited before the certification can be granted. These decisions were later presented to the auditee, who did not accept the findings and proposed to provide additional information. Despite the auditee's comments, the auditors, having already decided on the certification recommendation, did not accept the additional information. The auditee's top management insisted that the audit conclusions did not represent reality, but the audit team remained firm in their decision.

According to scenario, what must the audit team leader, Tessa, do regarding the presentation of nonconformities during the closing meeting?

  1. Provide detailed analysis of each nonconformity, including potential impacts on the organization
  2. Only present major nonconformities
  3. Consistently align discussions with the relevant standard clauses

Answer(s): C

Explanation:

During the closing meeting, the audit team leader, Tessa, should ensure that the discussion and presentation of nonconformities are aligned with the relevant standard clauses from ISO/IEC 27001. This approach ensures that the audit findings are directly related to the specific requirements of the standard, making them clearer and more relevant to the auditee. By focusing on how the findings relate to the actual clauses of the standard, Tessa can provide a structured and objective presentation, highlighting the areas of noncompliance that are most critical for the certification process. This also ensures transparency and fairness in the audit process.






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