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PECB ISO-22301-Lead-Auditor exam is an internationally recognized certification exam that focuses on the skills and knowledge required to become a certified ISO 22301 Lead Auditor. ISO-22301-Lead-Auditor exam is designed to test the candidate's ability to plan, conduct, report, and follow up on an audit of a business continuity management system (BCMS).
NEW QUESTION # 28
Which two dependencies are validated by Business Impact Analysis? (Choose two)
- A. Static Dependencies
- B. Internal Dependencies
- C. Dynamic Dependencies
- D. External Dependencies
Answer: B,D
Explanation:
Explanation
Business Impact Analysis (BIA) is a process of identifying and evaluating the potential impacts of disruptions to critical business processes, systems, and resources. One of the objectives of BIA is to validate the dependencies of the organization's essential functions and operations. Dependencies are the relationships or interconnections between the organization and its internal or external stakeholders, such as suppliers, customers, partners, regulators, etc. Dependencies can affect the organization's ability to deliver its products and services, and therefore, they need to be considered in the BIA process. According to ISO/TS 22317:2021, there are two types of dependencies that are validated by BIA: internal dependencies and external dependencies1. Internal dependencies are the dependencies within the organization, such as between different functions, processes, activities, resources, or locations. For example, a production function may depend on the supply of raw materials from a warehouse, or a finance function may depend on the availability of an accounting system. Internal dependencies can be identified by analyzing the inputs and outputs of each function or process, and the resources required to support them. External dependencies are the dependencies outside the organization, such as with suppliers, customers, partners, regulators, or other stakeholders. For example, a retail company may depend on the delivery of goods from its suppliers, or a bank may depend on the compliance with regulatory requirements. External dependencies can be identified by analyzing the contracts, agreements, or expectations with the external parties, and the potential impacts of their failure or disruption. References:
ISO/TS 22317:2021, clause 6.3.2
NEW QUESTION # 29
Workshops bring a group of people together into a discussion.
- A. False
- B. True
Answer: B
NEW QUESTION # 30
Which of the following ensures that the programme and its components remain in line with the organisation's overall strategy?
- A. Functionality
- B. Dependency
- C. Maintenance
- D. Process
Answer: C
NEW QUESTION # 31
Which phase in PDCA cycle assesses the effectiveness of the BCMS against requirements of the business continuity policy?
- A. Act
- B. Do
- C. Check
- D. Plan
Answer: C
NEW QUESTION # 32
Which type of approach has a straightforward process based on informed judgement supported by appropriate guidance?
- A. Quantitative approach
- B. Qualitative approach
Answer: B
NEW QUESTION # 33
Which type of planning minimizes impacts due to the unavailability of key staff?
- A. Backup
- B. Regression
- C. Recovery
- D. Succession
Answer: D
NEW QUESTION # 34
Which of the following document is owned by executive management and sets the purpose of BCM in an organisation?
- A. Business Continuity Policy
- B. Worksheet
- C. Register
- D. Business Process Policy
Answer: A
NEW QUESTION # 35
Which role is associated with specialist services offered by third parties?
- A. Suppliers
- B. Reputation
- C. People
- D. Stakeholders
Answer: A
Explanation:
Explanation
Suppliers are the role associated with specialist services offered by third parties, such as consultants, trainers, auditors, or certification bodies. Suppliers can provide external support and expertise to the organization in developing, implementing, maintaining, and improving its BCMS. Suppliers can also help the organization to demonstrate its conformance and competence to interested parties, such as customers, regulators, or investors. Suppliers are one of the key stakeholders of the BCMS, as they can influence or be influenced by the organization's business continuity performance and objectives. References: ISO 22301 Auditing eBook, page 12 1; ISO 22301:2019, clause 4.2 2
NEW QUESTION # 36
Which step Collates and Validates all resource requirements of the selected continuity solutions?
- A. Check
- B. Compile
- C. Commity
- D. Confirm
Answer: B
Explanation:
Explanation
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.
NEW QUESTION # 37
A business continuity champion represents the executive management perspective in setting up the expectation for BCM.
- A. False
- B. True
Answer: B
NEW QUESTION # 38
Which type of approach has a straightforward process based on informed judgement supported by appropriate guidance?
- A. Quantitative approach
- B. Qualitative approach
Answer: B
Explanation:
Explanation
According to ISO 22301 Lead Auditor objectives and content, a qualitative approach is a type of approach that has a straightforward process based on informed judgement supported by appropriate guidance. A qualitative approach is used to assess the impacts and risks of a disruption to the organization's processes, resources, and objectives. A qualitative approach relies on the subjective evaluation of the likelihood and severity of the disruption, as well as the effectiveness of the existing controls and mitigation measures. A qualitative approach can use descriptive scales, such as low, medium, and high, to rank the impacts and risks. A qualitative approach can also use tools, such as matrices, diagrams, and checklists, to facilitate the analysis and communication of the results. A qualitative approach is suitable for organizations that have limited data, resources, or time to conduct a quantitative approach, which requires more complex and objective calculations and measurements. References: ISO 22301 Auditing eBook, page 401; ISO 22301 Clause 8.2.2 Risk assessment2
NEW QUESTION # 39
The Do phase in PDCA cycle consists of of operation
- A. False
- B. True
Answer: B
Explanation:
Explanation
The Do phase in the PDCA cycle consists of operation, which means implementing and operating the business continuity policy, controls, processes, and procedures that have been planned in the previous phase. The Do phase also involves establishing the necessary resources, competencies, awareness, communication, and documentation to support the effective operation of the business continuity management system (BCMS). The Do phase 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.
NEW QUESTION # 40
Non-compliance can often lead to undesirable outcomes.
- A. False
- B. True
Answer: B
Explanation:
Explanation
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. References:
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
NEW QUESTION # 41
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)?
- A. to determine minimal acceptable outage
- B. to identify risks
- C. to determine the business continuity strategy
- D. to identify crisis
Answer: C
NEW QUESTION # 42
Which phase in PDCA cycle establishes the operating framework for the BCMS?
- A. Act
- B. Check
- C. Do
- D. Plan
Answer: D
Explanation:
Explanation
The plan phase in the PDCA cycle establishes the operating framework for the BCMS by defining the scope, objectives, policy, and processes of the BCMS. The plan phase also involves conducting a business impact analysis (BIA) and a risk assessment (RA) to identify the business continuity requirements and strategies. The plan phase is one of the key requirements of ISO 22301, as it provides the foundation and direction for the BCMS implementation and improvement. References: ISO 22301 Auditing eBook, page 10 1; ISO
22301:2019, clause 0.3 2
NEW QUESTION # 43
How should the top management demonstrate its commitment to the BCMS?
- A. ensure that BCM objectives are aligned to the strategic goals of the business
- B. conduct effective management reviews of the BCMS
- C. appoint a business continuity manager
- D. hire external expertise regarding BCM
Answer: B
Explanation:
Explanation
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.
References:
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
NEW QUESTION # 44
Which of the following defines the area of operation in which the task and its activities should be performed?
- A. Timescale
- B. Task
- C. Scope
- D. Function
Answer: C
Explanation:
Explanation
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
NEW QUESTION # 45
Which of the following is about planning and arrangement of BCM tasks into a proper order of relationship to achieve the defined outcomes?
- A. Analysis
- B. Performance
- C. Coordination
- D. Communication
Answer: C
Explanation:
Explanation
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
NEW QUESTION # 46
______________ are individuals or groups that have an interest in the organization's performance.
- A. Competitor
- B. Individuals
- C. Stakeholders
- D. Customers
Answer: C
Explanation:
Explanation
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
NEW QUESTION # 47
The collection of corporate information provides evidence on the state of organizational preparedness.
- A. False
- B. True
Answer: B
Explanation:
Explanation
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
NEW QUESTION # 48
Which objective should be concise and unequivocal?
- A. Unambiguous
- B. Time-based
- C. Measurable
- D. ambiguous
Answer: A
NEW QUESTION # 49
Which step in PDCA Cycle validates improvements?
- A. Check
- B. Do
- C. Plan
- D. Act
Answer: D
NEW QUESTION # 50
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