PECB ISO-22301-Lead-Auditor ISO 22301 Lead Auditor Exam Practice Test

Answer : A

According to the ISO 22301 Auditing eBook, likelihood is defined as 'the chance of something happening, whether defined, measured or determined objectively or subjectively, qualitatively or quantitatively, and described using general terms or mathematically (such as a probability or a frequency over a given time period)'1. Likelihood is one of the factors that determine the level of risk, along with the impact or consequence of an event. The probability of a threat or risk to occur is therefore equivalent to the likelihood of that event.

Answer : A, B, C

According to the ISO 22301 Auditing eBook, there are three types of personal interview, which differ in terms of the structure, purpose and depth of information to be elicited. They are:

Fully structured interview: This type of interview follows a predefined set of questions that are asked in a fixed order. The interviewer does not deviate from the script and does not probe for additional information. The advantage of this type of interview is that it ensures consistency and comparability of data across different interviewees. The disadvantage is that it may not capture the nuances and complexities of the interviewee's responses, and may miss some important information that is not covered by the questions.

Semi-structured interview: This type of interview has a general outline of topics or questions to be covered, but the interviewer has the flexibility to ask follow-up questions, clarify ambiguities, and explore new areas of interest that emerge during the conversation. The advantage of this type of interview is that it allows for a deeper and richer understanding of the interviewee's perspectives, opinions, and experiences. The disadvantage is that it may introduce some variability and bias in the data collection and analysis, depending on the interviewer's skills and style.

Unstructured interview: This type of interview has no predetermined agenda or questions, and the interviewer relies on the natural flow of the conversation to guide the discussion. The interviewer may use some open-ended prompts or probes to elicit more information, but the interviewee has the freedom to express whatever they want. The advantage of this type of interview is that it can reveal unexpected and insightful information that may not be obtained through other methods. The disadvantage is that it may be difficult to manage, control, and summarize the data, and it may require more time and resources to conduct and analyze.

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Answer : B

The top management should demonstrate its commitment to the business continuity management system (BCMS) by conducting effective management reviews of the BCMS and ensuring that the business continuity management (BCM) objectives are aligned to the strategic goals of the business.These are two of the requirements of ISO 22301, the international standard for business continuity management systems, under clause 5.1: Leadership and commitment1.

Management reviews are periodic evaluations of the BCMS by the top management to assess its suitability, adequacy, and effectiveness. Management reviews help to ensure that the BCMS is performing as intended and meeting the requirements and expectations of the interested parties. Management reviews also help to identify and address any issues, gaps, or opportunities for improvement in the BCMS. Management reviews should be conducted at planned intervals, based on the organization's needs and context. Management reviews should consider various inputs, such as the performance and results of the BCMS, the feedback and satisfaction of the interested parties, the internal and external audits, the corrective actions, the changes that may affect the BCMS, etc. Management reviews should also produce various outputs, such as the decisions and actions related to the improvement and effectiveness of the BCMS, the allocation of resources, the revision of policies and objectives, the communication of the results and outcomes, etc. Management reviews are an important way for the top management to demonstrate its commitment to the BCMS, as they show that the top management is actively involved in overseeing and supporting the BCMS.

BCM objectives are the specific and measurable outcomes that the organization intends to achieve with its BCMS. BCM objectives help to guide and direct the organization's BCM activities and processes, as well as to evaluate and improve the organization's BCM performance and capability. BCM objectives should be consistent with the organization's business continuity policy and aligned with the organization's strategic goals and vision. BCM objectives should also be relevant and meaningful to the organization's context and needs, as well as the requirements and expectations of the interested parties. BCM objectives should be established and maintained by the top management, in consultation with the relevant stakeholders. BCM objectives should also be communicated and understood within the organization, as well as reviewed and updated regularly to reflect the changing circumstances and needs of the organization. Ensuring that the BCM objectives are aligned to the strategic goals of the business is an important way for the top management to demonstrate its commitment to the BCMS, as it shows that the top management is integrating BCM into the organization's overall strategy and direction.

ISO 22301:2019 - Security and resilience --- Business continuity management systems --- Requirements, Clause 5.1: Leadership and commitment1

ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.6: Business Continuity Objectives2

ISO 22301 Auditing eBook, Chapter 5: Audit Process, Section 5.3: Audit Criteria3

Answer : A

An unambiguous objective is one that is concise and unequivocal, meaning that it is clear, precise, and leaves no room for doubt or confusion. An unambiguous objective is important for business continuity management, as it helps to ensure that the organization and its stakeholders have a common understanding of what is expected and how to measure the progress and achievement of the objective. An unambiguous objective also helps to avoid misunderstandings, conflicts, or disputes that may arise from vague or ambiguous objectives. According to ISO 22301, business continuity objectives should be consistent with the business continuity policy, measurable, monitored, communicated, and updated as appropriate. They should also be SMART: Specific, Measurable, Achievable, Relevant, and Time-based. These criteria help to ensure that the objectives are unambiguous and effective.Reference: ISO 22301 Auditing eBook, Chapter 2: Business Continuity Management System (BCMS), Section 2.2: Business Continuity Policy, page 25. ISO 22301 Auditing eBook, Chapter 2: Business Continuity Management System (BCMS), Section 2.3: Business Continuity Objectives, page 26.

Answer : A

Process-oriented objectives are the objectives that focus on the BCM activities that support the achievement of people-and performance-oriented objectives, as defined by ISO 22301. Process-oriented objectives are derived from the business continuity policy and the results of the business impact analysis (BIA) and risk assessment (RA). Process-oriented objectives are measurable, consistent, and relevant to the organization's business continuity requirements and strategies. Process-oriented objectives are also aligned with the organization's strategic direction and communicated to all relevant parties.Process-oriented objectives are one of the key requirements of ISO 22301, as they provide the basis for planning, implementing, monitoring, reviewing, and improving the business continuity management system (BCMS).Reference: ISO 22301 Auditing eBook, page 281; ISO 22301:2019, clause 6.22

Answer : A

According to ISO 22301:2019, Clause 7.2, the organization must determine the necessary competence of persons doing work under its control that affects its business continuity performance. The organization must ensure that these persons are competent on the basis of appropriate education, training, or experience, and where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken. The organization must also retain appropriate documented information as evidence of competence. Therefore, people are the ones who have determined roles and responsibilities based on knowledge and skills profiles, as they are the key resources for implementing and maintaining the business continuity management system (BCMS).Reference: ISO 22301:2019, Clause 7.2; ISO 22301 Auditing eBook, Chapter 4.2.2.

Answer : A

Policy documents are developed in accordance to the framework of objectives, which are derived from the organization's strategic direction, context, and interested parties' needs and expectations. Policy documents provide guidance and direction for the organization's business continuity management system (BCMS) and set the overall tone and commitment of top management. Policy documents also define the scope and boundaries of the BCMS and the roles and responsibilities of the relevant parties.Reference: ISO 22301 Auditing eBook, page 28; ISO 22301:2019 standard, clause 5.2