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

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.

Answer : A

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.Reference: ISO 22301 Auditing eBook, Chapter 2.1.2.

Answer : D

According to ISO 22301:2019, Clause 3.10, critical functions are the functions that are directly responsible for the delivery of products and services to the customers and other interested parties. Critical functions are essential for the organization to achieve its objectives, protect its reputation, and meet its legal and contractual obligations. Critical functions are also the ones that are most vulnerable to disruption, and therefore require the highest level of protection and recovery capability. The identification and prioritization of critical functions are part of the business impact analysis (BIA) process, which is a key component of the business continuity management system (BCMS).Reference: ISO 22301:2019, Clause 3.10; ISO 22301 Auditing eBook, Chapter 4.2.2.

Answer : A

All outsourced functions or processes that are part of the organization's delivery system should be included in the scoping analysis, as they can have a significant impact on the organization's ability to deliver its products or services in the event of a disruption. The organization should also consider the dependencies and interdependencies between its internal and external functions or processes, and the potential consequences of their failure or disruption. The organization should define the scope of its business continuity management system (BCMS) based on the results of the scoping analysis and document it in the BCMS policy.Reference: ISO 22301 Auditing eBook, page 29; ISO 22301:2019 standard, clause 4.3

Answer : A

Non-compliance can often lead to undesirable outcomes. Non-compliance means the failure or refusal to comply with the requirements and expectations of a standard, regulation, contract, policy, or other obligation. Non-compliance can have negative consequences for an organization, such as:

Legal penalties: Non-compliance can result in fines, sanctions, lawsuits, or criminal charges from the authorities or other parties that have the power to enforce the compliance. For example, non-compliance with data protection laws can lead to hefty fines and reputational damage for the organization.

Loss of trust: Non-compliance can erode the confidence and trust of the stakeholders, such as customers, suppliers, employees, investors, regulators, etc. This can affect the organization's reputation, credibility, and competitiveness in the market. For example, non-compliance with quality standards can lead to customer dissatisfaction and defection.

Loss of business: Non-compliance can cause the organization to lose business opportunities, contracts, or partnerships with other organizations that require or expect compliance. For example, non-compliance with environmental standards can prevent the organization from entering certain markets or sectors that have strict sustainability criteria.

Loss of continuity: Non-compliance can expose the organization to increased risks and vulnerabilities that can disrupt its operations and performance. For example, non-compliance with business continuity standards can impair the organization's ability to respond to and recover from disruptive incidents, such as natural disasters, cyberattacks, supply chain failures, etc.

Therefore, non-compliance can often lead to undesirable outcomes that can harm the organization's interests, objectives, and values. To avoid these outcomes, the organization should establish, implement, and maintain a compliance management system that ensures the organization's adherence to the relevant standards, regulations, contracts, policies, and other obligations. The compliance management system should also include mechanisms for monitoring, measuring, reviewing, and improving the organization's compliance performance and effectiveness.Reference:

ISO 19600:2014 - Compliance management systems --- Guidelines1

ISO 22301 Auditing eBook, Chapter 5: Audit Process, Section 5.2: Audit Objectives2

ISO 22301:2019 - Security and resilience --- Business continuity management systems --- Requirements, Clause 9.1: Monitoring, measurement, analysis and evaluation3

Answer : A

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 and ethical implications of its communications, and ensure that the information provided is accurate, consistent, and timely.Reference: ISO 22301:2019, Clause 8.4.3; ISO 22301 Auditing eBook, Chapter 4.3.3.

Answer : C

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).Reference: ISO 22301 Auditing eBook, page 18; ISO 22301:2019 standard, clause 3.3.1