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PECB ISO-IEC-27001-Lead-Auditor Exam - Topic 3 Question 36 Discussion

You are an experienced ISMS audit team leader guiding an auditor in training. You are testing her understanding of follow-up audits by asking her a series of questions to which the answer is either "true* or 'false'. Which four of the following questions should the answer be true"'
A) A follow-up audit may be carried out where nonconformities are major and B) A follow-up audit may be carried out where nonconformities are minor and C) 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 and F) The outcomes of a follow-up audit should be reported to the individual managing the audit programme and the audit client
D) The outcome of a follow-up audit could lower a major nonconformity to minor status
E) The outcome of a follow-up audit could be a recommendabon to suspend the client's certification
G) A follow-up audit is required in all instances where nonconformities have been identified
H) A follow-up audit is required only in instances where a major nonconformity has been identified

PECB ISO-IEC-27001-Lead-Auditor Exam - Topic 3 Question 36 Discussion

Actual exam question for PECB's ISO-IEC-27001-Lead-Auditor exam
Question #: 36
Topic #: 3
[All ISO-IEC-27001-Lead-Auditor Questions]

You are an experienced ISMS audit team leader guiding an auditor in training. You are testing her understanding of follow-up audits by asking her a series of questions to which the answer is either "true* or 'false'. Which four of the following questions should the answer be true"'

Show Suggested Answer Hide Answer
Suggested Answer: A, B, C, F

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.


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

by Mirta at May 23, 2024, 03:12 PM

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Beata
7 months ago
A follow-up isn't required in every case, just saying.
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Sharita
8 months ago
Reporting to top management is a must!
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Gail
8 months ago
Wait, are we sure a follow-up is always needed?
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Una
8 months ago
Totally agree, especially for minor ones too!
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Mable
8 months ago
A follow-up audit can happen for major nonconformities.
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Dana
9 months ago
I feel like the question about suspending certification could be true, but I can't recall if that's a common outcome of follow-up audits.
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Dominque
9 months ago
I’m a bit confused about whether a follow-up audit is required for all nonconformities. I thought it depended on the severity.
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Minna
9 months ago
I remember practicing a question about reporting outcomes to top management, and I think that one is true.
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Gaston
9 months ago
I think a follow-up audit can definitely happen for both major and minor nonconformities, but I'm not sure if that's true for all cases.
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Therese
9 months ago
Okay, let me think this through. A follow-up audit can be done for both major and minor nonconformities, and the outcomes should be reported to the right stakeholders. I'm confident I can identify the 4 true statements here.
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Pamella
9 months ago
The true statements are the ones that accurately describe the purpose and outcomes of a follow-up audit. I'd focus on identifying those based on my knowledge of ISMS audit best practices.
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Kendra
9 months ago
This question seems straightforward, but I want to make sure I understand the key points about follow-up audits before selecting the true statements.
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Estrella
9 months ago
This is a good test of the auditor's understanding of follow-up audits. I'd advise the trainee to carefully read each statement and match it against their knowledge of the audit process and requirements.
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Xochitl
9 months ago
I feel pretty confident about this one. The question states that the administrator was able to detect an attack using the log file information, so the answer must be detection indicators. That's the category that best fits the description.
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France
9 months ago
For this type of question, I usually try to eliminate the options that don't quite fit the definition first. A and D don't seem to match the description of non-discretionary controls, so I'm leaning towards B or C as the best answer.
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Kallie
9 months ago
I think brand awareness and perceived value are key indicators of brand equity, so I'm leaning towards Option A.
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Cecilia
2 years ago
Wait, is this like a trick question? I mean, G and H can't both be true, right? That would just be confusing the poor auditor in training!
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Gerry
2 years ago
Haha, I bet the person who wrote this question is a real stickler for the details! But I'd say A, B, C, and F are the correct 'true' answers.
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Annalee
2 years ago
I agree with Grover. The outcome of a follow-up audit can also lower a major nonconformity to minor status, so D is also true.
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Grover
2 years ago
A, B, C, and F are definitely true. The purpose of a follow-up audit is to verify that the organization has addressed any major or minor nonconformities identified in the initial audit.
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Avery
2 years ago
F) True
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Marsha
2 years ago
C) True
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Leslee
2 years ago
B) True
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Carylon
2 years ago
A) True
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Lilli
2 years ago
F) True
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Wei
2 years ago
C) True
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Vanna
2 years ago
B) True
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Art
2 years ago
A) True
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