During which stage of the audit should the scope of the management system and the responsibility of the auditee's top management be validated?

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The validation of the scope of the management system and the responsibilities of the auditee's top management is an essential undertaking during the Stage 1 audit. This stage primarily focuses on gathering information about the organization and understanding its context, including its management system framework and the extent of its implementation.

During the Stage 1 audit, auditors review the documented information to ensure that the scope aligns with the intended objectives and the specific requirements of ISO/IEC 27001. This also includes assessing whether the leadership’s roles and responsibilities have been clearly defined and communicated, which are crucial for effective management commitment and audit preparation.

In contrast, the Stage 2 audit primarily concentrates on evaluating the implementation and effectiveness of the management system against the established criteria, so the validation of scope and responsibilities would not typically occur at this stage. A pre-audit assessment, while useful in preparing for a full audit, does not serve as the formal audit stage where such validations happen. Similarly, validating these elements after the audit would not provide the necessary insights or facilitate necessary corrective actions that should have been addressed earlier. Thus, the correct timing for this validation is indeed the Stage 1 audit.

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