ISO/IEC 27001:2013 Extension to ISO/IEC 27701:2019 Lead Auditor (Privacy Information Management System) Training Course

Information Security Management Systems (ISMS, ISO/IEC 27001:2013) Auditor/Lead Auditor Training Course

(Under process.)

Through the management system audit and certification, the organization can demonstrate its ability on legal (i.e. EU GDPR, DPA, IPRs), legislationstandards (i.e. ISO, IEC, IEEE), contractual obligation (i.e. Trade Secret, IP), policy and procedures compliance.

Also, the competence to plan, operation and continual improvements in the management system to control the risks and achieve its expected outcome.


This CQI (Chartered Quality Institute) /IRCA (International Register of Certificated Auditors) certified ISMS extended Privacy Information Management System (PIMS) Lead Auditor Training Course ( Registered Course Nr. xxxxx ) is part of International recognized CQI/IRCA ISMS Auditor Certification programme.

The successful completion of this course is pre-requisite and essential to becoming a CQI/IRCA ISMS Auditor.  

To participate in this training course, the following prior knowledge was expected: 

  1. Knowledge of Management System Compliance (ISO 19600)
    • Process approach (Plan-Do-Check-Act)
    • Business overall compliance risk management (ISO 31000), includes legal, legislation, contractual obligations, standards, policies, and procedures.
    • Top management leadership, other roles and responsibilities to support management system
    • Consideration of planning a management system - identify the organizational and technical measures to manage the identified risk
    • Supporting required by the management system 
    • Management system operation consideration - monitoring, reporting and communicating 
    • Performance evaluation of a management - objectives evaluation, Internal Audits, and Management Review 
    • Continually improve the effectiveness of a management system
  2. Knowledge of risk management (ISO 31000)
    • risk management process 
    • risk criteria
    • risk assessment (includes risk identification, analysis, and evaluation)
    • risk treatment 
    • risk communication, monitoring, and improvements
  3. Knowledge of information security management principles and concepts includes but not limited to:
    • awareness of the need for information security and privacy;
    • the assignment of responsibility for information security and privacy;
    • incorporating management commitment and the interests of stakeholders;
    • enhancing societal values;
    • using the results of risk assessments to determine appropriate controls to reach acceptable levels of risk;
    • incorporating security as an essential element of information networks and systems;
    • the active prevention and detection of information security and privacy incidents;
    • ensuring a comprehensive approach to information security and privacy management;
    • continual reassessment of information security and privacy and make of modifications as appropriate.
  4. Knowledge of Management system audit (ISO 19011)
    • Audit programme management 
    • Initial the audit
    • Prepare for an audit
    • Document review
    • Preparing for the on-site audit
    • Audit skills
    • Conducting on-site audit 
    • Preparation of Audit evidence and findings
    • Audit report
    • Audit follow-up 
  5. ISO/IEC 27001 and ISO/IEC 27701: Knowledge of the requirements of ISO/IEC 27001 (with ISO/IEC 27002) and the commonly used information security management terms and definitions, as given in ISO/IEC 27000.
  6. ISO/IEC 29100: Knowledge of the privacy framework and the following privacy principles: 
    • Consent and choice
    • Purpose legitimacy and specification
    • Collection limitation
    • Data minimization
    • Use, retention and disclosure limitation
    • Accuracy and quality
    • Openness, transparency, and notice
    • Individual participation and access
    • Accountability
    • Information security
    • Privacy compliance
  7. Understand the following management system certification requirements, 
    • ISO/IEC 17021-1 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements, 
    • ISO/IEC 27006, Information technology — Security techniques — Requirements for bodies providing audit and certification of information security management systems

Note. You are advised that course examination questions can relate to any requirement of ISO/IEC 27001 and the expected prior knowledge. For delegates who do not have these, we recommend attending our foundation training course. 

Who should attend?

This is intended for those who will be involved in leading audits of an ISMS and PIMS that conforms to the latest ISO/IEC 27001 and ISO/IEC 27701 in any organization. The suggested job functions and their teams including but not limited to the following:

  • Information security managers and data protection officers, data protection team
  • IT and corporate security managers, data protection representative
  • Corporate governance managers
  • Risk and compliance managers
  • Information security and privacy consultants

Learning objectives

  • Learn how to explain the purpose and business benefits of an ISMS and PIMS, of ISMS and PIMS standards, of management system audit and of third-party certification
  • Learn how to explain the role of an auditor to plan, conduct, report, and follow-up an ISMS and PIMS audit in accordance with ISO 19011 (and ISO 17021, ISO 27006) where appropriate
  • Learn how to plan, conduct, report and follow-up an audit of an ISMS and PIMS to establish conformity (or otherwise) with ISO/IEC 27001 (with ISO/IEC 27002 and ISO/IEC 27701) in accordance with ISO 19011 (and ISO 17021, ISO 27006 where appropriate)

Course benefits

  • Your organization will have an internal resource and process to be able to conduct its own audit of its ISMS and PIMS to assess and improve conformance with ISO/IEC 27001 and ISO/IEC 27701
  • You will gain a professional qualification that certifies that you have the knowledge and skills to be able to lead a team to conduct an audit of an ISMS and PIMS in any organization
  • Successful auditing will improve the protection of an organization’s personal data and trade secret to meet market assurance and corporate governance needs
  • Understand how to identify gaps in an ISMS and PIMS system
  • Accurately audit will be able to provide continuous improvement to a management system
  • Meet the minimum training requirements for CQI/IRCA auditor certification 

Course outline

Day 1, Information security and privacy management systems knowledge (ISO 27001, ISO 27701)

  • Management system structure (MSS) and process approach (PDCA)
  • Understand the organization's compliance risk
    • Understanding of organization, interested parties, and their requirements 
    • Management system scoping 
  • Leadership and commitment
    • Top management leadership, management system policy and objectives 
    • Support the management system and a documented management system
    • Personal data controller and processors
  • Compliance risk management and objectives
    • Information asset and personal data management (asset register, asset owner)
    • Information security and privacy risk management requirements and process
    • Risk assessment (identify the risk, risk owner, risk analysis and risk evaluation)
    • Risk treatment (treatment options, Statement of Applicability (SoA), risk treatment plan)
    • Privacy information management controls 
  • Management system operation and personal data processing 
  • Management system performance evaluation and improvement processes

Day 2, Information security management (ISO/IEC 27002), Privacy information management (ISO/IEC 27701), Guidelines for auditing management systems (ISO 19011 and ISO 17021, ISO/IEC 27006)

  • Information security extended personal data protection controls
  • Personnel data controller specific controls 
  • Personnel data processor specific controls 
  • Auditor's role, responsibility, and competence
  • Different types of audit and certification process

Day 3, Guidelines for auditing management systems (ISO 19011) - Audit simulate the process of planning, preparation for an audit

  • Roles and responsibilities in an audit 
  • Management system performance evaluation and continual improvement requirements 
  • Different types of audit
  • Audit programme and purpose
  • Planning an audit (initiate the audit, feasibility analysis)
  • Conduct a Stage 1 audit (document review)
  • Preparation for Stage 2 (on-site) audit - audit plan
  • Preparation of audit work documents includes checklist and audit trails 

Day 4, Guidelines for auditing management systems (ISO 19011) - Audit simulate the opening meeting, on-site audit activities, and role-play

  • Opening meeting
  • Roleplay for audit scenarios 
  • Practice audit skills of collecting audit evidence
  • Prepare audit findings and results, includes conformance, non-conformity (NC), and opportunity for improvement (OFI) 
  • Prepare audit report 

Day 5, Guidelines for auditing management systems (ISO 19011) - Audit simulate the closing of on-site audit - close meeting and follow-up

  • Audit conclusion 
  • Closing meeting 
  • Audit follow-up
  • Evaluating correction, the corrective action including root cause analysis and audit finding closure
  • Management system certification 
  • Course summary and examination 

What's included?

  • Course material
  • CQI/IRCA auditor course examination 
  • CQI/IRCA course certificate

Organizational information

Last modified: Sunday, 22 November 2020, 2:25 PM