PECB Certified ISO 22301 Lead Auditor Exam Questions and Answers
Which of the following is about planning and arrangement of BCM tasks into a proper order of relationship to achieve the defined outcomes?
Options:
Communication
Analysis
Coordination
Performance
Answer:
CExplanation:
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
Which step Collates and Validates all resource requirements of the selected continuity solutions?
Options:
Check
Compile
Commity
Confirm
Answer:
BExplanation:
The step that collates and validates all resource requirements of the selected continuity solutions is the compile step. This step involves gathering all the information about the resources needed to implement and operate the continuity solutions, such as human resources, equipment, facilities, materials, suppliers, partners, etc. The compile step also involves verifying that the resource requirements are realistic, feasible, and consistent with the organization’s objectives, policies, and budget1.
References: 1: ISO 22301 Auditing eBook, Chapter 6: Business Continuity Strategy, Section 6.2: Continuity Solutions, Subsection 6.2.4: Compile, Page 88.
Which compliance has always been a challenge to organizations since it has a significant influence on corporate planning?
Options:
Quality
Regulatory
Security
Insurance
Answer:
BExplanation:
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 collection of corporate information provides evidence on the state of organizational preparedness.
Options:
True
False
Answer:
AExplanation:
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
Which two levels of organizations activities does business continuity can be integrated?
Options:
Management
Structural
Operations
Processes
Answer:
A, DExplanation:
Business continuity can be integrated into two levels of the organization’s activities: management and processes. According to the ISO 22301 Auditing eBook, "Business continuity integration is the process of embedding business continuity principles and practices into the organization’s culture, values, and operations. Business continuity integration aims to ensure that business continuity is not seen as a separate function or project, but as an integral part of the organization’s management and processes."1
Business continuity integration at the management level involves the following aspects1:
- Leadership and commitment: The top management of the organization should demonstrate leadership and commitment to the business continuity management system (BCMS) by establishing the business continuity policy, objectives, and roles, as well as providing the necessary resources and support for the BCMS.
- Planning and strategy: The organization should plan and develop its business continuity strategy and objectives based on the results of the business impact analysis and risk assessment, as well as the needs and expectations of the interested parties. The organization should also plan the actions to address the risks and opportunities related to the BCMS, as well as the changes that may affect the BCMS.
- Monitoring and evaluation: The organization should monitor and measure the performance and effectiveness of the BCMS, as well as the compliance with the requirements and expectations of the interested parties. The organization should also conduct internal and external audits, management reviews, and corrective actions to evaluate and improve the BCMS.
- Continual improvement: The organization should continually improve the suitability, adequacy, and effectiveness of the BCMS by identifying and implementing opportunities for enhancement and innovation.
Business continuity integration at the process level involves the following aspects1:
- Process identification and analysis: The organization should identify and analyze its processes and their interactions, as well as their criticality, dependencies, and recovery priorities. The organization should also determine the minimum business continuity objectives (MBCOs), recovery time objectives (RTOs), and recovery point objectives (RPOs) for each process.
- Process design and implementation: The organization should design and implement its processes in accordance with the business continuity strategy and objectives, as well as the requirements and expectations of the interested parties. The organization should also establish and maintain the business continuity plans and procedures that specify the actions and responsibilities for responding to and recovering from disruptive incidents.
- Process control and operation: The organization should control and operate its processes in a consistent and effective manner, as well as ensure the availability and reliability of the resources and assets that support the processes. The organization should also conduct exercises and tests to verify and validate the functionality and operability of the processes and the business continuity plans and procedures.
- Process improvement and optimization: The organization should improve and optimize its processes by applying the PDCA cycle and the process approach principles. The organization should also seek to enhance the resilience and adaptability of its processes to cope with changing circumstances and needs.
References:
- ISO 22301 Auditing eBook, Chapter 3: Business Continuity Integration, Section 3.1: Business Continuity Integration Levels1
- ISO 22301:2019 - Security and resilience — Business continuity management systems — Requirements2
Which type of planning minimizes impacts due to the unavailability of key staff?
Options:
Succession
Regression
Recovery
Backup
Answer:
AExplanation:
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
How many sections and supporting sections are involved in ISO 22301 ?
Options:
12 sections and 1 supporting section
13 sections and 2 supporting sections
12 sections and 1 supporting section
13 sections and 2 supporting sections
Answer:
BExplanation:
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:
Which of the following relates to performance evaluation, audit and benchmarking study?
Options:
Testing
Evaluation
Process Optimization
Organizational Management
Answer:
BExplanation:
Evaluation is the process of assessing the performance of an organization, a system, a process, or an activity against a set of criteria, standards, or objectives. Evaluation can be used to identify strengths, weaknesses, opportunities, and threats, as well as to measure the effectiveness, efficiency, and impact of the organization’s activities. Evaluation can also be used to compare the performance of different organizations, systems, processes, or activities, and to identify and share best practices and lessons learned. Evaluation is one of the key elements of the Plan-Do-Check-Act (PDCA) cycle, which is the basis of the ISO 22301 standard for business continuity management systems (BCMS). Evaluation is related to performance evaluation, audit, and benchmarking study, as these are some of the methods or tools that can be used to conduct evaluation. References: ISO 22301 Auditing eBook, Chapter 2: Introduction to Business Continuity Management Systems (BCMS), Section 2.3: The PDCA Cycle, Page 17; ISO 22301 Auditing eBook, Chapter 5: Audit Principles, Section 5.1: Introduction, Page 65; ISO 22301 Auditing eBook, Chapter 6: Audit Program, Section 6.3: Audit Program Objectives, Page 75; ISO 22301 Auditing eBook, Chapter 7: Audit Activities, Section 7.1: Introduction, Page 85; ISO 22301 Auditing eBook, Chapter 8: Audit Competence and Evaluation of Auditors, Section 8.1: Introduction, Page 105.
Which step of PDCA Cycle is associated with preparing the Statement of Applicability (SOA)?
Options:
Plan
Do
Check
Act
Answer:
AExplanation:
The Statement of Applicability (SOA) is a document that identifies the applicable requirements of ISO 22301 and explains how they are addressed by the organization’s Business Continuity Management System (BCMS). The SOA is prepared during the planning phase of the PDCA cycle, as part of the process of establishing the BCMS scope, objectives, and policy. The SOA is based on the results of the business impact analysis, risk assessment, and risk treatment, and it provides a rationale for the inclusion or exclusion of each requirement. The SOA also helps to demonstrate the conformity of the BCMS with the standard and to communicate the BCMS scope and objectives to interested parties. References: ISO 22301:2019, Clause 6.1.3; ISO 22301 Auditing eBook, Chapter 4.2.2.
The organization should establish a formal evaluation process for determining continuity and recovery priorities and objectives.
What is one of the purposes of the Business Impact Analysis (BIA)?
Options:
to determine the business continuity strategy
to determine minimal acceptable outage
to identify risks
to identify crisis
Answer:
BExplanation:
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
Which paradigm ensures that organizations can effectively complete the fully cycle of the management system, thereby achieving its intended outcomes?
Options:
Plan-Do-Check-Act (PDCA)
Kanban Model
Agile / Scrum Model
Six Sigma and Lean Process
Answer:
AExplanation:
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
The outgoing commitment from executive management helps to embed a positive business continuity culture within the organization.
Options:
True
False
Answer:
AExplanation:
The outgoing commitment from executive management helps to embed a positive business continuity culture within the organization by demonstrating leadership and support for the business continuity management system (BCMS) and its objectives. Executive management is responsible for establishing the BCMS policy, ensuring the alignment of the BCMS with the organization’s strategic direction, providing the necessary resources for the BCMS, communicating the importance of the BCMS, and promoting continual improvement of the BCMS. Executive management also sets an example for the rest of the organization by being actively involved in the BCMS activities and ensuring accountability and responsibility for the BCMS performance. References: ISO 22301 Auditing eBook, page 27; ISO 22301:2019 standard, clause 5.1
Which communication structure should be established for managing information between various groups of stakeholders in the organization?
Options:
Internal Communication
External Communication
Answer:
BExplanation:
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
Which team is responsible for determining how the impact of the incident is managed within the policy guidelines set by the strategic team?
Options:
Operational
Validated
Strategic
Tactical
Answer:
DExplanation:
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
Which step in PDCA Cycle Formulate and implement a management plan with actions?
Options:
Plan
Do
Check
Act
Answer:
BExplanation:
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
Which of the following outlines the management hierarchy of the organization?
Options:
Corporate Structure
Corporate Service
Corporate Improvement
Corporate Defences
Answer:
AExplanation:
Corporate structure outlines the management hierarchy of the organization, such as the board of directors, the executive management, the business units, the departments, the teams, and the individuals. It defines the roles, responsibilities, authorities, and accountabilities of the organizational members, as well as the reporting and communication lines. Corporate structure also reflects the organization’s culture, values, vision, mission, and strategic objectives. It is importantfor the organization to have a clear and effective corporate structure that supports the implementation and operation of the business continuity management system (BCMS) and ensures the alignment of the business continuity objectives with the strategic direction of the organization. References: ISO 22301 Auditing eBook, Chapter 2: Business Continuity Management System (BCMS), Section 2.1: Scope and Objectives, page 23.
Which three (3) levels are Management activities of Incident Management Structure (IMS) ? (Choose three)
Options:
Strategic
Tactical
Continual
Operational
Executional
Answer:
A, B, DExplanation:
The Incident Management Structure (IMS) is a framework for organizing and managing the response to a disruptive incident. The IMS defines three levels of management activities: strategic, tactical, and operational. The strategic level is responsible for setting the overall direction and objectives of the response, as well as allocating resources and coordinating with external stakeholders. The tactical level is responsible for implementing the strategic decisions and managing the operational teams. The tactical level also monitors the situation and reports to the strategic level. The operational level is responsible for executing the specific tasks and actions required to achieve the objectives of the response. The operational level also provides feedback to the tactical level on the progress and issues encountered. References:
- ISO 22301 Auditing eBook, Chapter 4: Incident Response and Recovery, Section 4.2: Incident Management Structure1
- ISO 22320:2018(en), Security and resilience — Emergency management — Guidelines for incident management2
___________ is an integrated set of processes and tools that an organization uses to develop its strategy, transform it into actions.
Options:
Management System
Life Cycle Process System
Corporate Management System
Enterprise Management System
Answer:
AExplanation:
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.
Which of the following refers to a specific task products or outcomes that are required in order to complete the project?
Options:
Timescale
Deliverables
Function
Task
Answer:
BExplanation:
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.
Which activities are exposed to innumerable threats that have the potential to compromise the achievement of corporate goals?
Options:
Formal
Organizational
Structural
Procedural
Answer:
BExplanation:
Organizational activities are the actions and processes that an organization performs to achieve its objectives and deliver its products and services. These activities are exposed to innumerable threats that have the potential to compromise the achievement of corporate goals. These threats can be internal orexternal, natural or man-made, intentional or accidental, and can affect the organization’s resources, capabilities, reputation, and continuity. Some examples of threats that can disrupt organizational activities are:
- Natural disasters, such as earthquakes, floods, storms, fires, or pandemics
- Cyber-attacks, such as hacking, malware, ransomware, denial-of-service, or data breaches
- Human errors, such as mistakes, negligence, or miscommunication
- Malicious acts, such as sabotage, theft, fraud, vandalism, or terrorism
- Supply chain issues, such as delays, shortages, quality problems, or contractual disputes
- Regulatory changes, such as new laws, standards, or policies that affect the organization’s operations or compliance
- Market changes, such as shifts in customer demand, preferences, or expectations, or increased competition or innovation
- Social changes, such as changes in demographics, culture, values, or behaviors that affect the organization’s stakeholders or environment To protect against these threats and ensure the continuity of organizational activities, organizations need to implement a business continuity management system (BCMS) that follows the requirements of ISO 22301. A BCMS is a set of policies, procedures, and practices that enable an organization to prepare for, respond to, and recover from disruptions when they arise. A BCMS helps an organization to identify its critical activities, assess the risks and impacts of potential disruptions, develop strategies and plans to mitigate and manage the disruptions, and test and improve the effectiveness of the BCMS. By implementing a BCMS, an organization can enhance its resilience, reduce its losses, and maintain its reputation and customer satisfaction. References: : What is ISO 22301 standard and what is its purpose? : Building Business Resilience: A Guide to ISO 22301 Certification : ISO 22301:2019(en), Security and resilience ? Business continuity management systems ? Requirements
Which function(s) provide support to the critical functions?
Options:
Supporting functions
Procedural functions
Answer:
AExplanation:
Supporting functions are the functions that provide support to the critical functions of an organization, such as human resources, finance, IT, or facilities management. Supporting functions are essential for the continuity of the critical functions, but they are not directly involved in delivering the products or services to the customers. Supporting functions are also part of the scope of the business continuity management system (BCMS) and need to be identified, analyzed, and protected by the organization. Supporting functions are one of the key concepts of ISO 22301, as they help the organization to determine its business continuity requirements and strategies. References: ISO 22301 Auditing eBook, page 23 1; ISO 22301:2019, clause 8.2.2 2
____________________ manages the full spectrum of risks and their combined impact as an interrelated risk profile to the organization.
Options:
Enterprise Planning Management (EPM)
Enterprise Continual Management (ECM)
Enterprise Strategy Management (ESM)
Enterprise Risk Management (ERM)
Answer:
DExplanation:
Enterprise Risk Management (ERM) is the approach that manages the full spectrum of risks and their combined impact as an interrelated risk profile to the organization. ERM enables an organization to consider the potential impact of all types of risks on all processes, activities, stakeholders, products and services1. ERM helps an organization to align its strategy, processes, technology, and knowledge with the purpose of evaluating and managing the uncertainties it faces2. ERM is a holistic and integrated approach that covers strategic, operational, financial, and compliance risks, as well as opportunities3. References:
- ISO 31000:2018, clause 3.1
- ISO 22301 Auditing eBook, page 11
- Enterprise Risk Management - Integrating with Strategy and Performance, page 4
Which of the following includes guidelines, procedures and physical control systems?
Options:
Corporate Income
Corporate Processes
Corporate Structure
Corporate Defences
Answer:
DExplanation:
Corporate defences are the measures and mechanisms that an organization implements to protect itself from internal and external threats and disruptions. Corporate defences include guidelines, procedures, and physical control systems that aim to prevent, detect, respond to, and recover from incidents that may affect the organization’s assets, operations, performance, reputation, or continuity. Corporate defences are an essential component of business continuity management, as they help to ensure the organization’s resilience and sustainability in the face of uncertainty and volatility. Corporate defences should be aligned with the organization’s objectives, values, and culture, as well as the requirements and expectations of its stakeholders. Corporate defences should also be based on a systematic assessment of the organization’s risks and opportunities, as well as the best practices and standards for business continuity, such as ISO 223011. References:
- ISO 22301:2019 - Security and resilience — Business continuity management systems — Requirements1
- ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.5: Corporate Defences2
Adopting the BCMS optimizes the organization's business continuity capability.
Options:
True
False
Answer:
AExplanation:
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.
Which one of the following initiative of Business Continuity Management is a regulatory system that controls an organization and its activities?
Options:
Leadership
Good Business Practice
Governance
Long Rance Focus
Answer:
CExplanation:
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
Which BCMS process analyzes the adequacy of the business continuity capability using defined targets and performance indicators?
Options:
Policy Formulation
Development and Management
Performance Evaluation
Management Review
Answer:
CExplanation:
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
The knowledge of BCM and its methodology relates to Technical expertise.
Options:
True
False
Answer:
BExplanation:
The knowledge of BCM and its methodology is not related to technical expertise, but to domain expertise. Technical expertise refers to the knowledge and skills related to the audit process, such as audit principles, procedures, techniques, and tools. Domain expertise refers to the knowledge and skills related to the specific field of the audit, such as BCM concepts, terms, definitions, requirements, and best practices. References: ISO 22301 Auditing eBook, page 11; ISO 19011:2018, clause 7.2.2
Of which process should Business Continuity programs be a part?
Options:
Incident Management process
Compliance process
Governance process
Problem Management process
Answer:
CExplanation:
Business continuity programs should be a part of the governance process of the organization, which is the system by which the organization is directed and controlled. The governance process involves setting the strategic direction, establishing the policies and objectives, allocating the resources, monitoring the performance, and ensuring the accountability and transparency of the organization. Business continuity programs support the governance process by ensuring the continuity of the organization’s critical functions and processes in the event of a disruptive incident, and by enhancing the organization’s resilience and reputation. References: ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management Systems (BCMS), Section 1.1: Governance, page 8.
Which review uncover's vulnerability and exposure of the organizational activities to specific types or risk?
Options:
Crisis Assessment
Continuity Assessment
Critical Assessment
Risk Assessment
Answer:
DExplanation:
A risk assessment is a review that uncovers the vulnerability and exposure of the organizational activities to specific types or risk. A risk assessment helps to identify, analyze, and evaluate the potential threats and impacts that could affect the organization’s ability to achieve its objectives and maintain its continuity. A risk assessment also helps to determine the appropriate risk treatment options and controls to reduce the likelihood and/or consequences of the risks. A risk assessment is an essential part of the business continuity management system (BCMS) as it enables the organization to prioritize its business continuity requirements and resources based on the level of risk. References:
- ISO 22301 Auditing eBook, page 25
- ISO 22301:2019, clause 6.1.2
Leadership prepares the organization before and during an incident.
Options:
True
False
Answer:
AExplanation:
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