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PECB ISO-IEC-27001-Lead-Auditor Exam - Topic 6 Question 41 Discussion

Actual exam question for PECB's ISO-IEC-27001-Lead-Auditor exam
Question #: 41
Topic #: 6
[All ISO-IEC-27001-Lead-Auditor Questions]

You are an experienced ISMS audit team leader guiding an auditor in training. Your team has just completed a third-party surveillance audit of a mobile telecom provider. The auditor in training asks you how you intend to prepare for the Closing meeting. Which four of the following are appropriate responses?

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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 Malcom at Jul 13, 2024, 08:14 AM

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Mertie
3 months ago
I think preparing for the closing meeting is essential, not optional!
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Kimbery
3 months ago
Definitely need to review findings with the team first!
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Marica
3 months ago
Wait, is it really okay to cancel the meeting over an unpaid invoice?
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Oretha
4 months ago
Totally agree, it's not a debate session.
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Wilda
4 months ago
Closing meetings are key for sharing findings, no challenges allowed!
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Melinda
4 months ago
I vaguely remember that we should review the audit evidence with the team before the meeting, but I’m not entirely sure if that’s a requirement.
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Odette
4 months ago
I feel like just winging the closing meeting isn't a good idea, but I can't recall if we discussed specific preparations in our training.
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Lisha
4 months ago
I remember practicing a question about the purpose of the closing meeting, and I think we should definitely communicate our findings clearly to the auditee.
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Brent
5 months ago
I think it's important to schedule a closing meeting to present our audit conclusions, but I'm not sure if we should also review the findings with the team first.
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Mozell
5 months ago
I'm a bit confused on the best approach here. Should we really just tell the auditee they can't challenge the findings? That doesn't seem very collaborative. And waiting outside to leave quickly? That seems a bit rude. I think I need to review the best practices for closing meetings before the exam.
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Jina
5 months ago
I've got this one! The most important things are to schedule the closing meeting, review the audit evidence and conclusions with the team, and then present the findings to the auditee. No need to rush out or avoid discussion - that could undermine the audit process. Just focus on clear, constructive communication.
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Malika
5 months ago
Hmm, this is a tricky one. I'm not sure I would advise the auditee that the closing meeting is just for us to present our findings. That could come across as confrontational. I think it's important to allow for some discussion and feedback from the client. And definitely don't cancel the meeting or withhold the report over payment issues - that's not professional.
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Mireya
5 months ago
This is a great question! As an experienced audit team leader, I would focus on preparing for an effective closing meeting. I would review the audit findings with the team, approve the conclusions, and plan to discuss any follow-up required. The key is to communicate the results professionally and objectively.
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Edmond
5 months ago
This seems like a straightforward question. The benefits to the construction companies are clearly outlined, so I think including those in the business case is appropriate.
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Jonelle
5 months ago
I feel pretty confident that the correct answer here is B - running an office through to delivery. That seems to be the key activity in the implementation lifecycle for a permanent P3O structure.
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Estrella
10 months ago
Wait, we don't need to prepare for the closing meeting? Guess I can just show up in my pajamas and wing it. After all, these telecom folks love surprises, right?
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Carole
9 months ago
H) I will review the audit evidence and the audit findings with the rest of the team
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Jeannetta
9 months ago
D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented
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Van
9 months ago
A) I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge the findings
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Felicitas
10 months ago
E is just ridiculous. Holding the report hostage over an unpaid invoice? That's a quick way to damage the client relationship and our reputation as a professional audit team.
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Gayla
10 months ago
C is definitely not appropriate. Even experienced auditors need to prepare for the closing meeting. It's not something you can just wing after doing a lot of audits.
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Leigha
8 months ago
H) I will review the audit evidence and the audit findings with the rest of the team
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Reta
9 months ago
F) I will discuss any follow-up required with my audit team
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Brett
9 months ago
D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented
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Jaime
9 months ago
A) I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge the findings
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Kiera
10 months ago
Yes, it's important to review the audit evidence and findings with the team before the closing meeting.
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Effie
10 months ago
Should we review the audit evidence and findings with the team?
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Malinda
10 months ago
I'm not sure about B. Leaving quickly might send the wrong message and could come across as unprofessional. We should be prepared to address any questions or concerns the auditee may have.
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Krystal
9 months ago
H) I will review the audit evidence and the audit findings with the rest of the team
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Freeman
9 months ago
F) I will discuss any follow-up required with my audit team
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Ling
9 months ago
D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented
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Carmen
10 months ago
A) I will advise the auditee that the purpose of the closing meeting is for the audit team to communicate our findings. It is not an opportunity for the auditee to challenge the findings
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Kiera
10 months ago
I will schedule a closing meeting with the auditee's representatives to present the audit conclusions.
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Effie
11 months ago
How do you plan to prepare for the Closing meeting?
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Lore
11 months ago
I agree with responses A, D, F, and G. Communicating the findings, scheduling the closing meeting, discussing follow-up, and reviewing the conclusions are all essential steps in preparing for the closing meeting.
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Arleen
9 months ago
Reviewing and approving the audit conclusions is a key step in preparing for the closing meeting.
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Elbert
10 months ago
Discussing any follow-up required with the audit team is definitely necessary to ensure everything is addressed.
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Benton
10 months ago
Scheduling a closing meeting with the auditee's representatives is crucial for presenting the audit conclusions.
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Lorenza
10 months ago
Yes, it's important to communicate our findings clearly to the auditee during the closing meeting.
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