ISO-22301-Lead-Auditor PECB Certified ISO 22301 Lead Auditor Exam Free Practice Exam Questions (2025 Updated)

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.

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

The resources that are involved in business continuity to continue critical operations at an acceptable level are premises, information, technology, and supplies. These are the four types of resources that are defined by ISO 22301, the international standard for business continuity management systems (BCMS). According to ISO 22301, a resource is anything that can be used to achieve an objective1. The standard specifies the following types of resources and their definitions2:

Premises: The physical location where an organization operates or stores its assets.

Information: The data and knowledge that are necessary for an organization to function or provide its products and services.

Technology: The equipment, software, and systems that are used to process, store, transmit, or receive information, or to support the delivery of products and services.

Supplies: The materials, goods, or services that are required for an organization to operate or produce its products and services.

These resources are essential for business continuity because they enable an organization to perform its critical activities, which are the activities that have to be performed to deliver the key products and services that meet the minimum acceptable level of service and the needs of the interested parties3. Therefore, an organization needs to identify, prioritize, protect, and restore these resources in the event of a disruption, as part of its BCMS.

The other options are not correct because they are not types of resources that are involved in business continuity to continue critical operations at an acceptable level, according to ISO 22301. Data is a subset of information, and it is not a separate type of resource. Knowledge is also a part of information, and it is not a distinct type of resource.

References: 1: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 3.33 2: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 3.34-3.37 3: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 3.7 : ISO 22301 Auditing eBook, Chapter 2.2.2 : ISO 22301 Auditing eBook, Chapter 2.2.3 : ISO 22301 Auditing eBook, Chapter 2.2.4

 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

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

 According to the ISO 22301 Auditing eBook, there are three types of personal interview, which differ in terms of the structure, purpose and depth of information to be elicited. They are:

Fully structured interview: This type of interview follows a predefined set of questions that are asked in a fixed order. The interviewer does not deviate from the script and does not probe for additional information. The advantage of this type of interview is that it ensures consistency and comparability of data across different interviewees. The disadvantage is that it may not capture the nuances and complexities of the interviewee’s responses, and may miss some important information that is not covered by the questions.

Semi-structured interview: This type of interview has a general outline of topics or questions to be covered, but the interviewer has the flexibility to ask follow-up questions, clarify ambiguities, and explore new areas of interest that emerge during the conversation. The advantage of this type of interview is that it allows for a deeper and richer understanding of the interviewee’s perspectives, opinions, and experiences. The disadvantage is that it may introduce some variability and bias in the data collection and analysis, depending on the interviewer’s skills and style.

Unstructured interview: This type of interview has no predetermined agenda or questions, and the interviewer relies on the natural flow of the conversation to guide the discussion. The interviewer may use some open-ended prompts or probes to elicit more information, but the interviewee has the freedom to express whatever they want. The advantage of this type of interview is that it can reveal unexpected and insightful information that may not be obtained through other methods. The disadvantage is that it may be difficult to manage, control, and summarize the data, and it may require more time and resources to conduct and analyze.

References: : ISO 22301 Auditing eBook, Chapter 5: Audit Techniques, Section 5.2: Personal Interview, Page 63-64.

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Business continuity objectives are the objectives that take the form of targets to enhance organizational resilience, as defined by ISO 22301. Business continuity objectives are derived from the business continuity policy and the results of the business impact analysis (BIA) and risk assessment (RA). Business continuity objectives are measurable, consistent, and relevant to the organization’s business continuity requirements and strategies. Business continuity objectives are also aligned with the organization’s strategic direction and communicated to all relevant parties. Business continuity 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

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 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

The Check phase of the PDCA cycle is the phase that determines potential issues pertaining to the management of the BCMS. The Check phase involves monitoring and evaluating the performance and effectiveness of the BCMS and identifying any gaps, nonconformities, risks, or opportunities for improvement. The Check phase also involves collecting and analyzing data and information related to the BCMS, such as the results of audits, reviews, tests, exercises, surveys, and feedback. The Check phase provides valuable input for the Act phase, 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 : Business continuity and ISO 22301 - Qudos : ISO 22313:2020(en), Security and resilience ? Business continuity …

 Corporate Services and Information Technology are the functions that provide a range of physical and technological infrastructure services to all other functions, such as human resources, finance, legal, procurement, facilities, security, IT systems, networks, applications, databases, etc. These functions are essential for the continuity of the organization’s operations, as they support the delivery of products and services to customers and stakeholders. Therefore, they need to be included in the scope and objectives of the business continuity management system (BCMS), and their roles and responsibilities need to be defined and communicated. References: ISO 22301 Auditing eBook, Chapter 2: Business Continuity Management System (BCMS), Section 2.1: Scope and Objectives, page 23.

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

Reviewing is the stage that helps management to define where focus and resources should be invested. According to ISO 22301, reviewing is the process of evaluating the performance and effectiveness of the business continuity management system (BCMS) and identifying opportunities for improvement. Reviewing can be done through internal audits, management reviews, performance evaluations, and corrective actions. Reviewing can help management to ensure that the BCMS is aligned with the organization’s strategic objectives, meets the needs and expectations of interested parties, complies with the applicable requirements, andcontinually improves its resilience and capability to respond to disruptive incidents. References: ISO 22301 Auditing eBook, page 171; ISO 22301:2019, clause 92

 Leadership stresses the importance of executive support for the BCMS, as it is one of the key factors for the success of the system. According to the ISO 22301 Auditing eBook, leadership is the process of influencing and directing people to achieve the organization’s business continuity objectives. Leadership involves setting the vision, direction, and strategy for the BCMS, as well as providing the necessary resources, support, and communication to implement and maintain the system. Executive support refers to the commitment and involvement of the top management in the BCMS. Executive support ensures that the BCMS is aligned with the organization’s overall strategy and objectives, and that it receives the adequate attention, budget, and resources it needs. Executive support also ensures that the BCMS is integrated into the organization’s culture and values, and that it is communicated to all relevant parties, such as employees, customers, suppliers, regulators, and the public. Executive support can create a positive impact on the organization’s resilience and reputation, as it demonstrates the organization’s readiness and capability to respond to and recover from disruptive incidents. Leadership and executive support are closely related and mutually reinforcing. Leadership requires executive support to establish and sustain the BCMS, and executive support requires leadership to guide and direct the BCMS. Without leadership and executive support, the BCMS may not be effective, efficient, or consistent, and may not achieve the desired outcomes. References: ISO 22301 Auditing eBook, pages 16, 17, 18, 19, 20, 21, 22, 23, 24, 25, 26, and 27.

 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.

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

 The document that is owned by executive management and sets the purpose of BCM in an organization is the Business Continuity Policy. The Business Continuity Policy is a high-level document that defines the scope, objectives, principles, and roles and responsibilities for business continuity management within the organization. It also demonstrates the commitment of top management to support and continually improve the BCMS. The Business Continuity Policy is one of the mandatory documents required by ISO 22301, the international standard for BCMS12.

The other options are not correct because they are not documents that are owned by executive management and set the purpose of BCM in an organization. A Business Process Policy is a document that describes the procedures and rules for performing a specific business process, such as procurement, sales, or accounting. A Register is a document that records and tracks the status of certain items, such as risks, incidents, or assets. A Worksheet is a document that contains data and calculations, such as a spreadsheet or a form.

References: 1: ISO 22301:2019, Security and resilience — Business continuity management systems — Requirements, 5.3 2: ISO 22301 Auditing eBook, Chapter 2.2.2

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.

 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.