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

The validation of the scope of the management system and the responsibilities of the auditee's top management occurs during the Stage 1 audit. This phase focuses on gaining an understanding of the organization and its context, as well as determining whether the requirements of the ISO/IEC 27001 standard are being addressed. It allows the auditor to confirm that the specified scope is appropriate and aligned with the organization's objectives and the risks they face.

During the Stage 1 audit, the auditor reviews relevant documentation, including the information security management system (ISMS) policy and objectives, to ensure that management is knowledgeable of their roles and responsibilities regarding the ISMS. This early validation is essential to ensure that the subsequent Stage 2 audit can adequately focus on evaluating the implementation and effectiveness of the ISMS in the defined scope.

In contrast, the Stage 2 audit is primarily concerned with assessing the practical application and compliance of the ISMS with the standard's requirements, rather than validating the scope itself. The phases after the audit or during report preparation focus on summarizing findings and recommendations rather than validating management responsibilities or scope.