ISO-22301-Lead-Auditor Exam Dumps - PECB ISO 22301 Questions and Answers

 Document control is a process that ensures that documented information related to the BCMS is current, accurate, and available to relevant parties. It also ensures that the confidentiality of business continuity materials is safeguarded from unauthorized access, disclosure, or misuse. Document control covers the creation, approval, distribution, use, storage, preservation, retrieval, control of changes, retention, and disposition of documented information. Document control is required by clause 7.5.3 of ISO 22301:2019. References: ISO 22301:2019, clause 7.5.3; ISO 22301 Auditing eBook, page 56.

A formal management system is a type of management system that provides the means for organizations to improve internal controls and management competence. A formal management system is a documented system that defines the policies, objectives, processes, procedures, roles, responsibilities, and resources for managing a specific aspect of the organization’s performance. A formal management system is based on a recognized standard or framework that specifies the requirements and best practices for achieving the desired outcomes and performance. A formal management system also includes mechanisms for monitoring, measuring, reviewing, and improving the system’s effectiveness and efficiency. A formal management system helps the organization to demonstrate its commitment and capability to meet the expectations and needs of its stakeholders, such as customers, regulators, employees, suppliers, etc. A formal management system also helps the organization to identify and manage the risks and opportunities that may affect its performance and continuity. Examples of formal management systems are ISO 22301 for business continuity management, ISO 9001 for quality management, ISO 14001 for environmental management, ISO 27001 for information security management, etc. References:

• ISO 22301 Auditing eBook, Chapter 1: Introduction to Business Continuity Management Systems, Section 1.1: Management System Concepts1
• What is a management system?2
• ISO - Management system standards3

 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

A time-based objective is an objective that should be attainable within a given timeframe. Time-based objectives help to ensure that the organization is taking timely and realistic actions to achieve its desired outcomes and performance. Time-based objectives also help to monitor and measure the progress and results of the actions, as well as to identify and address any delays or deviations. Time-based objectives are one of the characteristics of the S.M.A.R.T. concept, which stands for Specific, Measurable, Achievable, Relevant, and Time-based. The S.M.A.R.T. concept is a useful tool for setting effective objectives that are clear, realistic, and meaningful. The S.M.A.R.T. concept is applicable to various types of objectives, such as business continuity objectives, recovery time objectives, recovery point objectives, minimum business continuity objectives, etc. According to the ISO 22301 Auditing eBook, "Time-bound: BCOs [Business Continuity Objectives] should be time-bound, with clear deadlines and timelines for achieving the objectives. This ensures that the organization is taking timely action to protect critical business functions during a disruptive incident."1 References:

• ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.3: Business Impact Analysis2
• How to set ISO 22301 Business Continuity Objectives - Advisera1
• What is the Plan-Do-Check-Act (PDCA) Cycle?3

 The Do step in the PDCA cycle implements the previous selected controls to meet the control objectives. According to the ISO 22301 Auditing eBook, the Do step involves implementing and operating the business continuity policy, controls, processes, and procedures that have been planned in the previous step. The Do step also includes establishing the necessary resources, competencies, awareness, communication, and documentation to support the effective operation of the business continuity management system (BCMS). The Do step 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.

A documentary review is a type of review that involves examining documents, records, or other forms of evidence related to the audit criteria and objectives. It can often be used as a secondary method to support other forms of information collection methods, such as interviews, observations, or sampling. A documentary review can help to verify the existence, implementation, and effectiveness of the audited processes, activities, or controls. It can also provide useful information about the context, scope, and objectives of the audit, as well as the roles and responsibilities of the auditees and other relevant parties. References: ISO 22301 Auditing eBook, page 611; ISO 19011:2018, clause 6.3.22

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

The PDCA paradigm cycle is widely recognized as a process-centric approach. The PDCA cycle, also known as the Deming cycle or the Shewhart cycle, is a four-step model for carrying out change and improvement in a systematic and consistent way. The PDCA cycle consists of the following phases: Plan, Do, Check, and Act. The Plan phase involves identifying the problem, setting the objectives, and developing the plan for improvement. The Do phase involves implementing the plan and carrying out the actions. The Check phase involves monitoring and measuring the results and comparing them with the objectives. The Act phase involves taking corrective actions, standardizing the improvement, and reviewing the process. The PDCA cycle is a process-centric approach because it focuses on the processes and their interactions that deliver the desired outcomes and performance. The PDCA cycle helps to ensure that the processes are planned, executed, evaluated, and improved in a continuous and consistent manner. The PDCA cycle is also aligned with the process approach principle of ISO 22301, the international standard for business continuity management systems. ISO 22301 requires the organization to apply the PDCA cycle to its business continuity management system, as well as to its individual processes and activities. The PDCA cycle helps the organization to establish, implement, operate, monitor, review, maintain, and continually improve its business continuity management system and its ability to respond to and recover from disruptive incidents. 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 0.3: The Plan-Do-Check-Act cycle2
• What is the Plan-Do-Check-Act (PDCA) Cycle?3

 Policy documents are developed in accordance to the framework of objectives, which are derived from the organization’s strategic direction, context, and interested parties’ needs and expectations. Policy documents provide guidance and direction for the organization’s business continuity management system (BCMS) and set the overall tone and commitment of top management. Policy documents also define the scope and boundaries of the BCMS and the roles and responsibilities of the relevant parties. References: ISO 22301 Auditing eBook, page 28; ISO 22301:2019 standard, clause 5.2

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.