Free Practice Questions for PECB ISO-22301-Lead-Auditor Exam

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

A documentary review is a type of review that involves examining documents, records, or other forms of evidence related to the audit criteria and objectives. It can often be used as a secondary method to support other forms of information collection methods, such as interviews, observations, or sampling. A documentary review can help to verify the existence, implementation, and effectiveness of the audited processes, activities, or controls. It can also provide useful information about the context, scope, and objectives of the audit, as well as the roles and responsibilities of the auditees and other relevant parties. References: ISO 22301 Auditing eBook, page 611; ISO 19011:2018, clause 6.3.22

Communication is the process of engaging staff and external stakeholders in all aspects of the BCMS. Communication ensures that the BCMS objectives, policies, procedures, roles and responsibilities are understood and accepted by the relevant parties. Communication also facilitates the exchange of information and feedback between the BCMS and its interested parties, such as customers, suppliers, regulators, media, etc. Communication helps to build trust, awareness and commitment to the BCMS, as well as to enhance its performance and effectiveness. References: ISO 22301 Auditing eBook, page 30; ISO 22301:2019, clause 7.4

Maintenance is the activity that ensures that the programme and its components remain in line with the organization’s overall strategy. Maintenance involves monitoring and reviewing the performance and effectiveness of the programme, identifying and implementing improvements, and ensuring alignment with the changing needs and expectations of the organization and its stakeholders. Maintenance is an essential part of the programme management cycle, as it helps to ensure that the programme delivers the intended benefits and outcomes, and that the programme remains relevant and adaptable to the changing environment. Maintenance is also a requirement of ISO 22301, the international standard for business continuity management systems (BCMS). According to ISO 22301, the organization shall establish, implement and maintain a process for continual improvement of the BCMS, which includes evaluating the need for changes to the BCMS, and ensuring that the BCMS remains suitable, adequate and effective1. References:

ISO 22301:2019, clause 10.2

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

Stakeholders are individuals or groups that have an interest in the organization’s performance. According to the ISO 22301 Auditing eBook, "Stakeholders are persons or organizations that can affect, be affected by, or perceive themselves to be affected by a decision or activity of the organization. Stakeholders can be internal or external to the organization. Examples of internal stakeholders are employees, managers, owners, and board members. Examples of external stakeholders are customers, suppliers, regulators, investors, competitors, media, and the public."1 Stakeholders have different needs and expectations regarding the organization’s business continuity management system (BCMS) and its ability to respond to and recover from disruptive incidents. Therefore, the organization needs to identify its relevant stakeholders and understand their requirements and expectations, as well as communicate with them effectively and appropriately. This is one of the requirements of ISO 22301, the international standard for business continuity management systems. ISO 22301 requires the organization to determine the interested parties that are relevant to its BCMS and the requirements of these interested parties2. Interested parties are a subset of stakeholders that have a direct or indirect influence on the BCMS or a stake in its outcome3. The organization also needs to monitor and review the information about these interested parties and their requirements, as they may change over time2. References:

ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.1: Stakeholders1

ISO 22301:2019 - Security and resilience — Business continuity management systems — Requirements, Clause 4.2: Understanding the needs and expectations of interested parties2

Interested parties in ISO 27001 and ISO 22301 | Who are they?3

Coordination is the process of planning and arranging BCM tasks into a proper order of relationship to achieve the defined outcomes. Coordination involves establishing the roles and responsibilities of the BCM team, the stakeholders, and the external parties, as well as defining the communication channels and protocols. Coordination also ensures that the BCM activities are aligned with the organizational objectives, policies, and procedures, and that the BCM resources are allocated and utilized efficiently and effectively. References: ISO 22301 Auditing eBook, page 281

Business Continuity Management (BCM) is a holistic management process that identifies potential threats to an organization and the impacts to business operations that those threats, if realized, might cause, and which provides a framework for building organizational resilience with the capability for an effective response that safeguards the interests of its key stakeholders, reputation, brand and value-creating activities1. One of the main objectives of BCM is to prepare the entire organization in advance of any major incident, so that it can respond and recover effectively and efficiently. This is achieved by implementing a Business Continuity Management System (BCMS), which is a set of policies, processes, procedures, roles, responsibilities, resources, and plans that enable an organization to manage business continuity2.

According to ISO 22301, the international standard for BCMS, one of the benefits of implementing a BCMS is that it helps an organization to establish a culture of good business practice, which is an initiative that helps in preparing the entire organization in advance of any major incident3. Good business practice means that an organization follows the principles of business continuity, such as customer focus, leadership, engagement of people, process approach, improvement, evidence-based decision making, and relationship management. By adopting these principles, an organization can enhance its resilience, reduce its risks, improve its performance, and increase its customer satisfaction.

The other options are not correct because they are not initiatives of BCM that help in preparing the entire organization in advance of any major incident. Leadership is a principle of business continuity, but it is not an initiative by itself. It refers to the role of top management in establishing the BCMS, providing direction and support, and ensuring its effectiveness. Governance is a function of the organization that ensures that the BCMS is aligned with the strategic objectives, complies with the legal and regulatory requirements, and meets the expectations of the interested parties. Long range focus is a characteristic of a resilient organization, but it is not an initiative of BCM. It means that an organization anticipates and adapts to the changing environment, and plans for the future.

References: 1: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 3.4 2: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 3.5 3: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, Introduction : ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 0.2 : ISO 22301 Auditing eBook, Chapter 2.2.2 : ISO 22301 Auditing eBook, Chapter 2.1.1

 One of the purposes of the business impact analysis (BIA) is to determine the minimal acceptable outage (MAO) for each critical function or process of the organization. The MAO is the maximum amount of time that a function or process can be disrupted before it causes unacceptable consequences for the organization. The MAO is used to define the recovery time objective (RTO) and the recovery point objective (RPO) for each function or process. The RTO is the time within which a function or process must be restored after a disruption, and the RPO is the point in time to which the data and information must be recovered. The BIA helps the organization to prioritize its recovery efforts and allocate the necessary resources for business continuity. References: ISO 22301 Auditing eBook, page 38; ISO 22301:2019 standard, clause 8.2.2