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

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?

AI 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

BI will instruct my audit team to wait outside the auditee's offices so we can leave as quickly as possible after the closing meeting. This saves our time and the client's time too

CIt is not necessary to prepare for the closing meeting. Once you have carried out as many audits as I have you already know what needs to be discussed

DI will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented

EI will contact head office to ensure our invoice has been paid, If not, I will cancel the closing meeting and temporarily withhold the audit report

FI will discuss any follow-up required with my audit team

GI will review and, as appropriate, approve my teams audit conclusions

HI will review the audit evidence and the audit findings with the rest of the team

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

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39 comments · newest first

Mertie 10 months ago

I think preparing for the closing meeting is essential, not optional!

Kimbery 11 months ago

Definitely need to review findings with the team first!

Marica 11 months ago

Wait, is it really okay to cancel the meeting over an unpaid invoice?

Oretha 11 months ago

Totally agree, it's not a debate session.

Wilda 11 months ago

Closing meetings are key for sharing findings, no challenges allowed!

Melinda 12 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.

Odette 12 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.

Lisha 12 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.

Brent 1 year 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.

Mozell 1 year 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.

Jina 1 year 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.

Malika 1 year 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.

Mireya 1 year 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.

Edmond 1 year 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.

Jonelle 1 year 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.

Estrella 1 year 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?

Carole 1 year ago

↳ replying to Estrella

H) I will review the audit evidence and the audit findings with the rest of the team

Jeannetta 1 year ago

↳ replying to Estrella

D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented

Van 1 year ago

↳ replying to Estrella

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

Felicitas 1 year 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.

Gayla 1 year 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.

Leigha 1 year ago

↳ replying to Gayla

H) I will review the audit evidence and the audit findings with the rest of the team

Reta 1 year ago

↳ replying to Gayla

F) I will discuss any follow-up required with my audit team

Brett 1 year ago

↳ replying to Gayla

D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented

Jaime 1 year ago

↳ replying to Gayla

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

Kiera 1 year ago

Yes, it's important to review the audit evidence and findings with the team before the closing meeting.

Effie 1 year ago

Should we review the audit evidence and findings with the team?

Malinda 1 year 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.

Krystal 1 year ago

↳ replying to Malinda

H) I will review the audit evidence and the audit findings with the rest of the team

Freeman 1 year ago

↳ replying to Malinda

F) I will discuss any follow-up required with my audit team

Ling 1 year ago

↳ replying to Malinda

D) I will schedule a closing meeting with the auditee's representatives at which the audit conclusions will be presented

Carmen 1 year ago

↳ replying to Malinda

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

Kiera 1 year ago

I will schedule a closing meeting with the auditee's representatives to present the audit conclusions.

Effie 2 years ago

How do you plan to prepare for the Closing meeting?

Lore 2 years 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.

Arleen 1 year ago

↳ replying to Lore

Reviewing and approving the audit conclusions is a key step in preparing for the closing meeting.

Elbert 1 year ago

↳ replying to Lore

Discussing any follow-up required with the audit team is definitely necessary to ensure everything is addressed.

Benton 1 year ago

↳ replying to Lore

Scheduling a closing meeting with the auditee's representatives is crucial for presenting the audit conclusions.

Lorenza 1 year ago

↳ replying to Lore

Yes, it's important to communicate our findings clearly to the auditee during the closing meeting.

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