| Exam Name: | PECB Certified ISO/IEC 27001 2022 Lead Auditor exam | ||
| Exam Code: | ISO-IEC-27001-Lead-Auditor Dumps | ||
| Vendor: | PECB | Certification: | ISO 27001 |
| Questions: | 418 Q&A's | Shared By: | effy |
You are an experience ISMS audit team leader carrying out a third-party certification audit of an organization specialising in the secure disposal of confidential documents and removable media. Both documents and media are shredded in military grade devices which make it impossible to reconstruct the original.
The audit has gone well and you are just about to start to write the audit report, 30 minutes before the closing meeting. At
this point one of the organization's employees knocks on your door and asks if they can speak to you. They tell you that when things get busy her manager tells her to use a lower grade industrial shredder instead as the organisation has more of these and they operate faster. You were not informed about the existence or use of these machines by the auditee.
Select three options for how you should respond to this information.
Scenario 8
Trustingo has been providing banking and financial services in Estonia since 2010. The company has a network of 30 branches with over 100 ATMs nationwide. To meet strict data security and privacy regulations, Trustingo implemented an information security management system (ISMS) based on ISO/IEC 27001, ensuring better security, improved risk management, and compliance with legal requirements.
Nine months after the successful implementation of the ISMS, Trustingo decided to pursue certification for their ISMS based on ISO/IEC 27001 by an independent certification body. The certification audit included Trustingo's systems, processes, and technologies.
The audit team conducted the Stage 1 and Stage 2 audits jointly, and several nonconformities were detected. The first nonconformity was related to Trustingo's labeling of information. The company had an information classification scheme but no information labeling procedure. As a result, documents requiring the same level of protection would be labeled differently.
The nonconformity also impacted media handling. The audit team used sampling and concluded that 50 of 200 removable media stored sensitive information mistakenly classified as confidential. According to the information classification scheme, confidential information can be stored in removable media, whereas storing sensitive information is strictly prohibited.
The audit team drafted the nonconformity report and discussed the audit conclusions with Trustingo's representatives, who agreed to submit an action plan for the detected nonconformities within two months. Since the certification recommendation is conditional upon filing corrective actions, Trustingo must submit corrective action plans to show how they will address and resolve these nonconformities. Trustingo accepted the audit team leader's proposed solution and addressed the nonconformities by drafting an information labeling procedure and updating the removable media procedure.
Two weeks after the audit completion, Trustingo submitted a general action plan. Although the plan addressed the detected nonconformities and corrective actions taken, it lacked detailed action steps for each nonconformity and did not include specific details on the impacted systems, controls, or operations. The audit team evaluated the action plan. Nevertheless, Trustingo received an unfavorable recommendation for certification.
Question
Based on Scenario 8, Trustingo submitted a general action plan. Is this acceptable?
Scenario 7: Lawsy is a leading law firm with offices in New Jersey and New York City. It has over 50 attorneys offering sophisticated legal services to clients in business and commercial law, intellectual property, banking, and financial services. They believe they have a comfortable position in the market thanks to their commitment to implement information security best practices and remain up to date with technological developments.
Lawsy has implemented, evaluated, and conducted internal audits for an ISMS rigorously for two years now. Now, they have applied for ISO/IEC 27001 certification to ISMA, a well-known and trusted certification body.
During stage 1 audit, the audit team reviewed all the ISMS documents created during the implementation. They also reviewed and evaluated the records from management reviews and internal audits.
Lawsy submitted records of evidence that corrective actions on nonconformities were performed when necessary, so the audit team interviewed the internal auditor. The interview validated the adequacy and frequency of the internal audits by providing detailed insight into the internal audit plan and procedures.
The audit team continued with the verification of strategic documents, including the information security policy and risk evaluation criteria. During the information security policy review, the team noticed inconsistencies between the documented information describing governance framework (i.e., the information security policy) and the procedures.
Although the employees were allowed to take the laptops outside the workplace, Lawsy did not have procedures in place regarding the use of laptops in such cases. The policy only provided general information about the use of laptops. The company relied on employees' common knowledge to protect the confidentiality and integrity of information stored in the laptops. This issue was documented in the stage 1 audit report.
Upon completing stage 1 audit, the audit team leader prepared the audit plan, which addressed the audit objectives, scope, criteria, and procedures.
During stage 2 audit, the audit team interviewed the information security manager, who drafted the information security policy. He justified the Issue identified in stage 1 by stating that Lawsy conducts mandatory information security training and awareness sessions every three months.
Following the interview, the audit team examined 15 employee training records (out of 50) and concluded that Lawsy meets requirements of ISO/IEC 27001 related to training and awareness. To support this conclusion, they photocopied the examined employee training records.
Based on the scenario above, answer the following question:
The audit team concluded that Lawsy meets the ISO/IEC 27001's requirements related to training and awareness by examining 15 out of 50 employee training records, as provided in scenario 7. This is a risk or error related to:
Which six of the following actions are the individual(s) managing the audit programme responsible for?
TESTED 12 Feb 2026
