PECB ISO 22301 Lead Auditor Exam Practice Test

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 : B

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.Reference: 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.

Answer : A

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).Reference: ISO 22301 Auditing eBook, page 361; ISO 22301:2019, clause 8.4.22

Answer : B

According to ISO 22301:2019, Clause 6.2, the organization must establish business continuity objectives at relevant functions and levels. The business continuity objectives must be consistent with the business continuity policy, measurable, monitored, communicated, and updated as appropriate. The organization must also retain documented information on the business continuity objectives. One of the elements that should be included in the documented information is thetimescalefor the task completion. The timescale is the period of time within which the task or activity must be completed, such as hours, days, weeks, or months. The timescale helps to define the expected performance and results of the business continuity management system (BCMS), and to evaluate the progress and effectiveness of the implementation and operation of the BCMS.Reference: ISO 22301:2019, Clause 6.2; ISO 22301 Auditing eBook, Chapter 4.2.2.

Answer : A

The collection of corporate information provides evidence on the state of organizational preparedness, as it allows the organization to assess its current capabilities, 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.Reference: ISO 22301 Auditing eBook, page 34; ISO 22301:2019 standard, clause 9.1

Answer : B

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.Reference: ISO 22301 Auditing eBook, page 91; ISO 22301:2019, clause 3.42

Answer : A

According to ISO 22301:2019, Clause 6.1.2, the organization must establish, implement, and maintain a documented process to manage risks related to the continuity of its critical functions and the achievement of its business continuity objectives. The risk management process should include the identification, analysis, and evaluation of the risks that may cause disruption to the organization's operations, products, and services. The level of risk for an organization should be determined by combining the consequence and likelihood of the events that may lead to disruption, as well as the organization's risk criteria, risk appetite, and risk tolerance. The consequence of an event is the impact or effect that it may have on the organization's objectives, reputation, stakeholders, and resources. The likelihood of an event is the probability or frequency that it may occur, based on historical data, statistical analysis, expert judgment, or other methods. The organization should use appropriate tools and techniques to assess the level of risk, such as risk matrices, risk registers, risk maps, or risk software. The organization should also document the results of the risk assessment and communicate them to relevant interested parties. The purpose of risk management for business continuity is to find out what problems an organization may face, and to take appropriate actions to prevent, mitigate, or transfer the risks, or to accept them if they are within the organization's risk criteria.Reference: ISO 22301:2019, Clause 6.1.2; ISO 22301 Auditing eBook, Chapter 4.2.2.