Free PECB ISO-22301-Lead-Auditor Practice Exam with Questions & Answers

 According to ISO 22301 Lead Auditor objectives and content, the communication structure for managing information between various groups of stakeholders in the organization should include both internal and external communication. Internal communication refers to the exchange of information and messages within the organization, such as between employees, managers, and business continuity teams. External communication refers to the exchange of information and messages with parties outside the organization, such as customers, suppliers, regulators, media, and the public. Both types of communication are essential for ensuring the effective operation of the business continuity management system (BCMS) and the successful response and recovery from disruptions. The communication structure should be aligned with the organization’s communication strategy, which should identify the communication needs, define the communication channels, and establish the communication procedures for the BCMS. The communication structure should also consider the unique communication requirements that may arise during a disruption, such as timely and accurate information, alternative communication channels, and managing rumours and misinformation. References: ISO 22301 Auditing eBook, page 291; ISO 22301 Clause 7.4 Communication2

A personal interview is a type of interview that employs verbal questioning as its principal technique of data collection. It is a face-to-face conversation between the interviewer and the interviewee, where the interviewer asks open-ended or closed-ended questions to obtain information from the interviewee. A personal interview can be conducted in various settings, such as at the interviewee’s workplace, home, or a neutral location. A personal interview can be structured, semi-structured, or unstructured, depending on the level of flexibility and standardization of the questions. A personal interview can be used for different purposes, such as to assess the interviewee’s competence, motivation, attitude, or opinion on a certain topic. A personal interview can also be used to establish rapport, trust, and credibility between the interviewer and the interviewee. A personal interview can have various advantages and disadvantages, such as:

Advantages:

• It allows the interviewer to observe the interviewee’s body language, facial expressions, and tone of voice, which can provide additional insights into the interviewee’s feelings, emotions, and reactions.
• It enables the interviewer to probe deeper into the interviewee’s responses, clarify ambiguities, and ask follow-up questions to obtain more detailed and comprehensive information.
• It gives the interviewer the opportunity to adapt the questions and the pace of the interview according to the interviewee’s level of knowledge, interest, and responsiveness.
• It can increase the interviewee’s willingness to participate, cooperate, and disclose information, as the interviewer can establish a personal connection and a positive atmosphere with the interviewee.
• It can reduce the possibility of misunderstanding, misinterpretation, or distortion of the information, as the interviewer can verify and confirm the interviewee’s answers immediately.

Disadvantages:

• It can be time-consuming, costly, and labor-intensive, as it requires the interviewer to travel to the interviewee’s location, schedule the interview, and conduct the interview.
• It can be influenced by various biases, such as the interviewer’s expectations, preferences, stereotypes, or prejudices, which can affect the interviewer’s choice of questions, interpretation of answers, and evaluation of the interviewee.
• It can be affected by various factors, such as the interviewer’s skills, personality, appearance, or mood, which can influence the interviewer’s performance, behavior, and interaction with the interviewee.
• It can be subject to various errors, such as the interviewer’s memory, recall, or transcription errors, which can result in the loss, omission, or alteration of the information.
• It can pose various challenges, such as the interviewer’s difficulty in maintaining control, neutrality, or objectivity, or the interviewee’s reluctance, resistance, or dishonesty, which can hinder the quality and validity of the information.

References:

• PECB Certified ISO 22301 Lead Auditor eLearning Training Course1, Module 5: Conducting an ISO 22301 audit, Lesson 5.2: Communication during the audit, Slide 8: Types of interviews
• ISO 22301 Auditing eBook2, Chapter 5: Conducting an ISO 22301 audit, Section 5.2: Communication during the audit, Subsection 5.2.1: Types of interviews

The team that is responsible for determining how the impact of the incident is managed within the policy guidelines set by the strategic team is the tactical team. The tactical team is composed of managers or experts who have the authority and competence to make decisions and allocate resources to implement the business continuity plans and strategies. The tactical team coordinates and communicates with the operational team, which is responsible for executing the recovery and restoration activities, and reports to the strategic team, which is responsible for setting the overall direction and objectives of the incident response1.

References: 1: ISO 22301 Auditing eBook, Chapter 7: Business Continuity Response, Section 7.2: Incident Management Structure, Subsection 7.2.1: Incident Management Teams, Page 103

ISO 22301:2019 is the international standard for business continuity management systems (BCMS). It specifies the requirements for establishing, implementing, maintaining, and improving a BCMS that enables an organization to prepare for, respond to, and recover from disruptive incidents. ISO 22301:2019 consists of 13 sections and 2 supporting sections. The 13 sections are:

• Scope: This section defines the scope and applicability of the standard and its intended outcomes.
• Normative references: This section lists the normative references that are indispensable for the application of the standard, such as ISO 31000 and ISO/IEC 27000.
• Terms and definitions: This section provides the definitions of the terms used in the standard, such as business continuity, incident, and risk.
• Context of the organization: This section requires the organization to determine its internal and external issues, the needs and expectations of its interested parties, and the scope and boundaries of its BCMS.
• Leadership: This section requires the top management to demonstrate leadership and commitment, establish the business continuity policy and objectives, assign roles and responsibilities, and support the BCMS.
• Planning: This section requires the organization to plan actions to address risks and opportunities, achieve the business continuity objectives, and integrate the BCMS into its business processes.
• Support: This section requires the organization to provide the necessary resources, competence, awareness, communication, and documented information to support the BCMS.
• Operation: This section requires the organization to implement the operational planning and control, conduct the business impact analysis and risk assessment, determine the business continuity strategy and solutions, establish and implement the business continuity procedures, and exercise and test the BCMS.
• Performance evaluation: This section requires the organization to monitor, measure, analyze, and evaluate the performance and effectiveness of the BCMS, conduct internal audits, and review the BCMS at planned intervals.
• Improvement: This section requires the organization to identify and implement opportunities for improvement, address nonconformities and take corrective actions, and continually improve the BCMS.
• Annex A: This section provides informative guidance on the relationship between the clauses of ISO 22301:2019 and ISO 22313:2020, which is the international standard for business continuity management systems - guidance on the use of ISO 22301.
• Annex B: This section provides informative guidance on the relationship between the clauses of ISO 22301:2019 and ISO 31000:

According to ISO 22301 Lead Auditor objectives and content, a qualitative approach is a type of approach that has a straightforward process based on informed judgement supported by appropriate guidance. A qualitative approach is used to assess the impacts and risks of a disruption to the organization’s processes, resources, and objectives. A qualitative approach relies on the subjective evaluation of the likelihood and severity of the disruption, as well as the effectiveness of the existing controls and mitigation measures. A qualitative approach can use descriptive scales, such as low, medium, and high, to rank the impacts and risks. A qualitative approach can also use tools, such as matrices, diagrams, and checklists, to facilitate the analysis and communication of the results. A qualitative approach is suitable for organizations that have limited data, resources, or time to conduct a quantitative approach, which requires more complex and objective calculations and measurements. References: ISO 22301 Auditing eBook, page 401; ISO 22301 Clause 8.2.2 Risk assessment2

The collection of corporate information provides evidence on the state of organizational preparedness, as it allows the organization to assess its currentcapabilities, resources, and performance in relation to its business continuity objectives and requirements. Corporate information includes documents, records, data, and other types of information that are relevant to the organization’s business continuity management system (BCMS). By collecting and analyzing corporate information, the organization can identify its strengths, weaknesses, opportunities, and threats, and determine the gaps and areas for improvement in its BCMS. Corporate information also helps the organization to monitor and measure the effectiveness and efficiency of its BCMS, and to demonstrate its compliance with the ISO 22301 standard and other applicable regulations and standards. References: ISO 22301 Auditing eBook, page 34; ISO 22301:2019 standard, clause 9.1

Business continuity objectives are the objectives that take the form of targets to enhance organizational resilience, as defined by ISO 22301. Business continuity objectives are derived from the business continuity policy and the results of the business impact analysis (BIA) and risk assessment (RA). Business continuity objectives are measurable, consistent, and relevant to the organization’s business continuity requirements and strategies. Business continuity objectives are also aligned with the organization’s strategic direction and communicated to all relevant parties. Business continuity 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). References: ISO 22301 Auditing eBook, page 28 1; ISO 22301:2019, clause 6.2 2

A formal management system is a type of management system that provides the means for organizations to improve internal controls and management competence. A formal management system is a documented system that defines the policies, objectives, processes, procedures, roles, responsibilities, and resources for managing a specific aspect of the organization’s performance. A formal management system is based on a recognized standard or framework that specifies the requirements and best practices for achieving the desired outcomes and performance. A formal management system also includes mechanisms for monitoring, measuring, reviewing, and improving the system’s effectiveness and efficiency. A formal management system helps the organization to demonstrate its commitment and capability to meet the expectations and needs of its stakeholders, such as customers, regulators, employees, suppliers, etc. A formal management system also helps the organization to identify and manage the risks and opportunities that may affect its performance and continuity. Examples of formal management systems are ISO 22301 for business continuity management, ISO 9001 for quality management, ISO 14001 for environmental management, ISO 27001 for information security management, etc. References:

• ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management Systems, Section 1.1: Management System Concepts1
• What is a management system?2
• ISO - Management system standards3

 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). References: ISO 22301:2019, Clause 7.2; ISO 22301 Auditing eBook, Chapter 4.2.2.

Succession planning is the type of planning that minimizes impacts due to the unavailability of key staff. Succession planning is a process of identifying and developing potential successors for key positions in an organization. It helps to ensure the continuity of leadership and critical skills in the event of staff turnover, retirement, resignation, illness, death, or any other cause of unavailability. Succession planning is an important component of business continuity management, as it helps to reduce the risk of disruption and loss of performance due to the loss of key staff. Succession planning also helps to retain and motivate high-potential employees, as well as to enhance the organization’s reputation and attractiveness as an employer. Succession planning should be aligned with the organization’sstrategic objectives, culture, and values. It should also be based on a systematic assessment of the current and future needs of the organization, as well as the competencies and potential of the existing and prospective staff. Succession planning should involve the participation and commitment of senior management, human resources, and the relevant staff. It should also be reviewed and updated regularly to reflect the changing circumstances and needs of the organization. References:

• ISO/TS 30433:2021 - Human resource management — Succession planning metrics cluster1
• ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.4: Business Continuity Strategy2
• ISO 22301:2019 - Security and resilience — Business continuity management systems — Requirements, Clause 7.2: Competence3