ISO-22301-Lead-Auditor PECB Certified ISO 22301 Lead Auditor Exam Questions and Answers

 The media and press have a profound impact on the long-term performance, or in some cases, the survival of an organization, especially in the aftermath of a disruptive incident. The media and press can influence the perception and reputation of the organization, as well as the expectations and satisfaction of its stakeholders, such as customers, suppliers, regulators, employees, and the general public. Therefore, it is important for the organization to establish and maintain a positive relationship with the media and press, and to communicate effectively and transparently during and after a crisis. ISO 22301:2019, Clause 8.4.3, requires the organization to establish, implement, and maintain a documented procedure to manage communications with relevant interested parties during a disruptive incident. The procedure should include the identification of the spokesperson(s) who will communicate with the media and press, the preparation of key messages and statements, the approval and distribution of information, and the monitoring and evaluation of the effectiveness of the communications. The organization should also consider the potential legal andethical implications of its communications, and ensure that the information provided is accurate, consistent, and timely. References: ISO 22301:2019, Clause 8.4.3; ISO 22301 Auditing eBook, Chapter 4.3.3.

A competitor is an organization or individual that operates in the same market as another organization or individual and offers similar products or services that are in direct or indirect competition with each other. Competitors are interested parties that can affect or be affected by the organization’s business continuity objectives, strategies, and performance. Competitors can also pose threats or opportunities for the organization’s business continuity management system (BCMS). References: ISO 22301 Auditing eBook, page 18; ISO 22301:2019 standard, clause 3.3.1

Continual improvement is the process that ensures the BCMS operates effectively and remains relevant in its context. Continual improvement is an essential aspect of any management system, as it allows organizations to identify areas for improvement and implement changes to enhance their performance. According to ISO 22301, organizations should establish, implement, maintain, and continually improve a business continuity management system (BCMS) based on the principles of continual improvement. Furthermore, this ongoing process should be embedded into the organization’s culture. The continual improvement involves regularly reviewing the BCMS to identify areas for improvement and taking action to make changes that will enhance the system’s effectiveness. This can be achieved through various methods, such as monitoring and measuring the system’s performance, analyzing data and trends, conducting internal audits and management reviews, and implementing corrective and preventive actions. ISO 22301 also emphasizes the importance of leadership in driving continual improvement. Top management should continually improve the BCMS and provide the necessary resources and support to achieve this. They should also set objectives and targets for improvement and monitor progress. Continual improvement is a systematic and ongoing process that involves identifying opportunities for improvement, making changes, and monitoring the results to ensure practical improvements. References: : ISO 22301 Auditing eBook, page 11 : ISO 22301:2019, clause 10.2 : ISO 22301:2019, clause 3.15 : ISO 22301 Clause 10.2 Continual improvement : ISO 22301 continuous improvement – How to achieve it

Leadership prepares the organization before and during an incident by establishing the business continuity policy, objectives, and roles and responsibilities, ensuring the alignment of the business continuity management system (BCMS) with the organization’s strategic direction, providing the necessary resources and support for the BCMS, communicating the importance of effective business continuity management to all interested parties, and promoting continual improvement of the BCMS. Leadership also demonstrates commitment and accountability for the BCMS performance, ensures the integration of the BCMS requirements into the organization’s processes, reviews and evaluates the BCMS suitability, adequacy, and effectiveness, and ensures that the organization’s business continuity needs and exp

 Governance is the initiative of Business Continuity Management that is a regulatory system that controls an organization and its activities. Governance refers to the set of policies, processes, roles, and responsibilities that define how an organization is directed and managed. Governance ensures that the organization’s objectives, strategies, and operationsare aligned with the expectations and needs of its stakeholders, such as customers, employees, regulators, and shareholders. Governance also provides oversight and accountability for the organization’s performance, risks, compliance, and continuity.

Business Continuity Management (BCM) is a key component of governance, as it enables the organization to protect its critical assets and functions, and to respond and recover from disruptive incidents. BCM helps the organization to maintain its reputation, resilience, and value in the face of uncertainty and crisis. BCM also supports the organization’s compliance with relevant laws, regulations, standards, and best practices, such as ISO 22301, the international standard for business continuity management systems.

Therefore, governance is the initiative of Business Continuity Management that is a regulatory system that controls an organization and its activities, by providing direction, oversight, and accountability for the organization’s continuity and resilience. References:

• ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management, Section 1.1: What is Business Continuity Management?, Page 4
• ISO 22301 Auditing eBook, Chapter 2: Introduction to ISO 22301, Section 2.1: What is ISO 22301?, Page 9
• ISO 22301 Auditing eBook, Chapter 3: Business Continuity Management System, Section 3.1: Context of the Organization, Page 13
• ISO 22301 Auditing eBook, Chapter 3: Business Continuity Management System, Section 3.2: Leadership, Page 16

According to the ISO 22301 Auditing eBook, there are five types of strategies involved in the process-centric approach to business continuity management. They are:

• Business continuity strategy: This is the overall approach that provides a framework for ensuring the continuity of an organization’s critical functions in the event of a disruption. It defines the objectives, scope, principles, and policies of the business continuity management system (BCMS).
• Recovery strategy: This is the specific approach that defines how an organization will restore its critical functions within a predefined time frame after a disruption. It identifies the resources, actions, and procedures required to recover the critical functions and resume normal operations.
• Continuity strategy: This is the specific approach that defines how an organization will maintain its critical functions during a disruption. It identifies the alternative arrangements, methods, and modes of operation that will enable the organization to continue delivering its products or services at an acceptable level of performance.
• Mitigation strategy: This is the specific approach that defines how an organization will reduce the likelihood and/or impact of a disruption. It identifies the preventive and protective measures that will minimize the exposure and vulnerability of the organization to potential threats and risks.
• Response strategy: This is the specific approach that defines how an organization will react to a disruption. It identifies the roles, responsibilities, and authorities of the incident management team, the communication channels and protocols, and the escalation and notification procedures.

References: ISO 22301 Auditing eBook, pages 40-42

Regulatory compliance is the adherence to laws, regulations, guidelines and specifications relevant to an organization’s business processes. It has always been a challenge to organizations since it has a significant influence on corporate planning, such as strategic objectives, policies, procedures, risk management, performance measurement and improvement. Regulatory compliance can also affect the organization’s reputation, customer satisfaction, stakeholder confidence and legal liability. Therefore, organizations need to establish, implement, maintain and improve a business continuity management system (BCMS) that meets the requirements of ISO 22301 and other applicable regulations. References: ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management Systems (BCMS), Section 1.2: Regulatory Compliance, page 9.

 The step in the PDCA cycle that formulates and implements a management plan with actions is the Do step. The Do step is the second phase of the PDCA cycle, following the Plan step. In the Do step, the organization executes the plan that was developed in the Plan step, based on the objectives, policies, and procedures of the business continuity management system (BCMS). The Do step involves implementing the new or improved processes,controls, activities, and measures that are designed to achieve the desired outcomes and performance of the BCMS. The Do step also involves documenting the results and outcomes of the implementation, as well as any problems or deviations that occurred. The Do step provides the basis for the Check step, where the organization monitors and evaluates the effectiveness and efficiency of the implemented plan. References:

• ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management Systems, Section 1.3: PDCA Cycle1
• ISO 22301:2019 - Security and resilience — Business continuity management systems — Requirements, Clause 8: Operation2

Performance evaluation is the BCMS process that analyzes the adequacy of the business continuity capability using defined targets and performance indicators. It involves monitoring, measuring, analyzing, and evaluating the BCMS performance and effectiveness, as well as conducting internal audits and management reviews. Performance evaluation helps to identify the strengths and weaknesses of the BCMS, as well as the opportunities for improvement and corrective actions. Performance evaluation is one of the key requirements of ISO 22301, as it demonstrates the organization’s commitment to continual improvement and customer satisfaction. References: ISO 22301 Auditing eBook, page 19 1; ISO 22301:2019, clause 9 2

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

A management system is an integrated set of processes and tools that an organization uses to develop its strategy, transform it into actions, and monitor and evaluate its performance and effectiveness. A management system helps an organization to achieve its objectives and continually improve its performance.

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

Scope is the term that defines the area of operation in which the task and its activities should be performed, as described in ISO 22301. Scope is one of the key elements of a business continuity plan (BCP), which is a documented information that specifies the procedures and resources needed to manage a disruptive incident and ensure the continuity of the organization’s critical functions. Scope helps to define the boundaries and applicability of the BCP, as well as the roles and responsibilities of the involved parties. Scope also helps to ensure the consistency and compatibility of the BCP with the organization’s business continuity objectives and strategies. Scope is one of the key requirements of ISO 22301, as it provides the basis for planning, implementing, monitoring, reviewing, and improving the business continuity management system (BCMS). References: ISO 22301 Auditing eBook, page 36 1; ISO 22301:2019, clause 8.4.2 2

 According to ISO 22301 Auditing eBook, Chapter 2.1.2, a business continuity champion is a person who represents the executive management perspective in setting up the expectation for business continuity management (BCM). The business continuity champion is responsible for ensuring that the BCM policy and objectives are aligned with the strategic direction of the organization, and that the necessary resources and support are provided for the implementation and maintenance of the business continuity management system (BCMS). The business continuity champion also acts as a liaison between the executive management and the business continuity manager, who is the person in charge of the operational aspects of the BCMS. References: ISO 22301 Auditing eBook, Chapter 2.1.2.

 Most government policies have direct influences on how organizations shape their business strategies and plans, as they affect the legal, regulatory, economic, and social environment in which the organizations operate. Government policies can create opportunities or threats for the organizations, depending on their nature and impact. For example, government policies can affect the taxation, trade, security, environmental, and human rights aspects of the organizations’ activities. Therefore, organizations need to monitor and analyze the government policies that are relevant to their business objectives and interests, and adapt their business strategies and plans accordingly. This is also important for the business continuity management system (BCMS), as it helps the organizations to identify and address the risks and opportunities related to the government policies, and to ensure the compliance and resilience of their BCMS. References: ISO 22301 Auditing eBook, page 13 1; ISO 22301:2019, clause 4.1 2

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). References: ISO 22301 Auditing eBook, page 28 1; ISO 22301:2019, clause 6.2 2

 The Do step in the PDCA cycle implements the previous selected controls to meet the control objectives. According to the ISO 22301 Auditing eBook, the Do step involves implementing and operating the business continuity policy, controls, processes, and procedures that have been planned in the previous step. The Do step also includes establishing the necessary resources, competencies, awareness, communication, and documentation to support the effective operation of the business continuity management system (BCMS). The Do step aims to ensure that the organization is prepared to respond to and recover from disruptive incidents in a timely and effective manner. References: ISO 22301 Auditing eBook, pages 9, 10, 11, 22, 23, and 24.

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. References: 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.

According to ISO 22301 Auditing eBook, Chapter 3.2.1, people-oriented objectives are the objectives that are related to shaping the attitudes, behaviours, and skills of individuals within the organization. These objectives aim to enhance the awareness, competence, and commitment of the personnel involved in the business continuity management system (BCMS). Some examples of people-oriented objectives are:

• To increase the level of business continuity awareness among all employees by conducting regular training and awareness sessions.
• To ensure that all business continuity roles and responsibilities are clearly defined and communicated to the relevant personnel.
• To develop and maintain the necessary skills and knowledge for performing business continuity tasks and activities.
• To foster a culture of business continuity within the organization that encourages participation, collaboration, and continuous improvement.

People-oriented objectives are important for ensuring that the organization has the human resources required for implementing and maintaining the BCMS, and for achieving the desired business continuity performance and results. References: ISO 22301 Auditing eBook, Chapter 3.2.1.

Process management is the framework that is a continuous and progressive cycle that requires managerial, operational, administrative and technical support. Process management refers to the design, implementation, monitoring, evaluation, and improvement of the processes that deliver value to the organization and its stakeholders. Process management involves the following steps:

• Define the process: Identify the purpose, scope, objectives, inputs, outputs, activities, roles, and responsibilities of the process.
• Document the process: Create a visual representation of the process flow, such as a flowchart, diagram, or map, that shows the sequence of tasks, decisions, and interactions within the process.
• Implement the process: Execute the process according to the defined and documented specifications, using the appropriate resources, tools, and methods.
• Monitor the process: Measure and analyze the performance of the process, using key performance indicators (KPIs), metrics, and feedback mechanisms, to ensure that the process meets the expected outcomes and quality standards.
• Evaluate the process: Review and assess the effectiveness and efficiency of the process, using audit, review, and evaluation techniques, to identify the strengths, weaknesses, opportunities, and threats of the process.
• Improve the process: Implement corrective and preventive actions, based on the results of the evaluation, to enhance the process and eliminate or reduce the causes of nonconformities, errors, or inefficiencies.

Process management is a continuous and progressive cycle that requires managerial, operational, administrative and technical support, as the process is constantly subject to change and improvement, based on the changing needs and expectations of the organization and its stakeholders. Process management also supports the implementation and maintenance of a business continuity management system (BCMS), as it helps the organization to identify, protect, and optimize its critical business processes and resources, and to ensure their continuity and resilience in the event of a disruption. References:

• ISO 22301 Auditing eBook, Chapter 3: Business Continuity Management System, Section 3.4: Planning, Page 18
• ISO 22301 Auditing eBook, Chapter 3: Business Continuity Management System, Section 3.6: Performance Evaluation, Page 21
• ISO 22301 Auditing eBook, Chapter 3: Business Continuity Management System, Section 3.7: Improvement, Page 23
• ISO 22301 Auditing eBook, Chapter 4: Business Continuity Management System Audit, Section 4.1: Audit Principles, Page 26
• ISO 22301 Auditing eBook, Chapter 4: Business Continuity Management System Audit, Section 4.3: Audit Process, Page 28

 Deliverables are the specific tasks, products, or outcomes that are required in order to complete the project. They are the tangible and measurable results of the project activities, and they should be aligned with the project objectives and scope. Deliverables can be classified into two types: project deliverables and process deliverables. Project deliverables are the outputs that directly contribute to the achievement of the project goals, such as reports, plans, documents, software, hardware, etc. Process deliverables are the outputs that support the management and execution of the project, such as schedules, budgets, risk assessments, audits, etc. Deliverables should be clearly defined, agreed upon, and accepted by the project stakeholders, and they should be monitored and controlled throughout the project lifecycle. According to ISO 22301, some of the deliverables for implementing a business continuity management system (BCMS) are: business continuity policy, business continuity objectives, business impact analysis, risk assessment and treatment, business continuity strategy, business continuity plans, business continuity procedures, performance indicators, audit reports, corrective actions, etc. References: ISO 22301 Auditing eBook, Chapter 3: Planning the BCMS, Section 3.1: Project Management, page 39. ISO 22301 Auditing eBook, Chapter 3: Planning the BCMS, Section 3.2: Project Deliverables, page 40.

Support does not lay out the foundation of planning and managing the BCMS, but rather provides the necessary resources and arrangements to enable the effective operation of the BCMS. Support includes aspects such as competence, awareness, communication, documented information, and organizational knowledge. The foundation of planning and managing the BCMS is laid out by the leadership and planning clauses of ISO 22301, which define the roles and responsibilities, policies, objectives, and actions to address risks and opportunities for the BCMS. References: ISO 22301 Auditing eBook, page 15 1; ISO 22301:2019, clauses 5, 6, and 7 2

 A control is a measure that is implemented to reduce or eliminate the risk from occurring, or to mitigate the impact of the risk if it occurs. A control can be preventive, corrective, or detective, depending on the stage of the risk management process. A control can also be administrative, technical, or physical, depending on the nature of the risk and the organization. A control can be designed, implemented, monitored, and evaluated based on the risk assessment and the risk treatment plan. A control can be documented in the business continuity policy, objectives, plans, procedures, and other relevant documents. A control can be audited to verify its effectiveness and efficiency in achieving the intended outcomes. References:

• PECB Certified ISO 22301 Lead Auditor eLearning Training Course1, Module 3: Fundamental principles and concepts of a business continuity management system (BCMS), Lesson 3.2: Business continuity management system (BCMS), Slide 15: Risk management
• ISO 22301 Auditing eBook2, Chapter 3: Fundamental principles and concepts of a business continuity management system (BCMS), Section 3.2: Business continuity management system (BCMS), Subsection 3.2.4: Risk management

The Check step in the PDCA cycle is the stage where the results are analyzed. It involves monitoring and evaluating the actions taken in the Do step. It is used to determine the effectiveness of the plan and to avoid recurring mistakes. The Check step identifies and assesses issues in the management process, such as gaps, nonconformities, risks, and opportunities. The Check step also involves collecting and analyzing data and information related to the performance and effectiveness of the BCMS. This can be done through various methods, such as audits, reviews, tests, exercises, surveys, and feedback. The Check step provides valuable input for the Act step, where corrective and preventive actions are taken to address the issues and improve the BCMS. References: : ISO 22301 Auditing eBook, page 11 : ISO 22301:2019, clause 9.1 : The Plan-Do-Check-Act (PDCA) Cycle: A Guide to Continuous Improvement : Plan-Do-Check-Act Cycle - BCMpedia

Adopting the BCMS optimizes the organization’s business continuity capability by enabling it to identify, prevent, prepare for, respond to, and recover from disruptive events. The BCMS provides a systematic approach to plan, implement, operate, monitor, review, maintain, and improve the organization’s ability to protect its critical functions and deliver its products and services at an acceptable level of performance during and after a disruption. The BCMS also helps the organization to enhance its resilience, reduce its risks, improve its reputation, and increase its customer satisfaction. References: ISO 22301:2019, Clause 1; ISO 22301 Auditing eBook, Chapter 1.1.

The Plan-Do-Check-Act (PDCA) paradigm ensures that organizations can effectively complete the full cycle of the management system, thereby achieving its intended outcomes. The PDCA cycle is a four-step iterative process that helps organizations to establish, implement, maintain, and continually improve their management systems. The PDCA cycle consists of the following phases:

• Plan: Establish the objectives and processes necessary to deliver the desired results.
• Do: Implement the processes as planned.
• Check: Monitor and measure the processes and results against the objectives and report the outcomes.
• Act: Take actions to improve the performance of the processes, if necessary. The PDCA cycle is also known as the Deming cycle, after its creator, W. Edwards Deming. The PDCA cycle is widely used in various management system standards, including ISO 22301, as it provides a structured approach to achieve continual improvement and customer satisfaction. References: ISO 22301 Auditing eBook, page 10 1; ISO 22301:2019, clause 0.3 2

 According to ISO 22301, a business continuity management system (BCMS) is a part of the organization’s overall management system that establishes, implements, operates, monitors, reviews, maintains, and improves business continuity. A management system is a set of interrelated or interacting elements of an organization that establishes policies and objectives and enables the achievement of those objectives. A management system can address one or more disciplines, such as quality, environment, information security, or business continuity. Therefore, a BCMS is not limited to the IT management system, nor is it always managed by an external service provider. A BCMS is integrated with the organization’s strategic direction, culture, values, and processes, and it involves the participation and commitment of all levels and functions of the organization. References: ISO 22301 Auditing eBook, page 9 1; ISO 22301:2019, clause 3.4 2