PECB ISO-22301-Lead-Auditor - PECB Certified ISO 22301 Lead Auditor Exam

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

A personal interview is a type of interview that employs verbal questioning as its principal technique of data collection. It is a face-to-face conversation between the interviewer and the interviewee, where the interviewer asks open-ended or closed-ended questions to obtain information from the interviewee. A personal interview can be conducted in various settings, such as at the interviewee’s workplace, home, or a neutral location. A personal interview can be structured, semi-structured, or unstructured, depending on the level of flexibility and standardization of the questions. A personal interview can be used for different purposes, such as to assess the interviewee’s competence, motivation, attitude, or opinion on a certain topic. A personal interview can also be used to establish rapport, trust, and credibility between the interviewer and the interviewee. A personal interview can have various advantages and disadvantages, such as:

Advantages:

It allows the interviewer to observe the interviewee’s body language, facial expressions, and tone of voice, which can provide additional insights into the interviewee’s feelings, emotions, and reactions.

It enables the interviewer to probe deeper into the interviewee’s responses, clarify ambiguities, and ask follow-up questions to obtain more detailed and comprehensive information.

It gives the interviewer the opportunity to adapt the questions and the pace of the interview according to the interviewee’s level of knowledge, interest, and responsiveness.

It can increase the interviewee’s willingness to participate, cooperate, and disclose information, as the interviewer can establish a personal connection and a positive atmosphere with the interviewee.

It can reduce the possibility of misunderstanding, misinterpretation, or distortion of the information, as the interviewer can verify and confirm the interviewee’s answers immediately.

Disadvantages:

It can be time-consuming, costly, and labor-intensive, as it requires the interviewer to travel to the interviewee’s location, schedule the interview, and conduct the interview.

It can be influenced by various biases, such as the interviewer’s expectations, preferences, stereotypes, or prejudices, which can affect the interviewer’s choice of questions, interpretation of answers, and evaluation of the interviewee.

It can be affected by various factors, such as the interviewer’s skills, personality, appearance, or mood, which can influence the interviewer’s performance, behavior, and interaction with the interviewee.

It can be subject to various errors, such as the interviewer’s memory, recall, or transcription errors, which can result in the loss, omission, or alteration of the information.

It can pose various challenges, such as the interviewer’s difficulty in maintaining control, neutrality, or objectivity, or the interviewee’s reluctance, resistance, or dishonesty, which can hinder the quality and validity of the information.

References:

PECB Certified ISO 22301 Lead Auditor eLearning Training Course1, Module 5: Conducting an ISO 22301 audit, Lesson 5.2: Communication during the audit, Slide 8: Types of interviews

ISO 22301 Auditing eBook2, Chapter 5: Conducting an ISO 22301 audit, Section 5.2: Communication during the audit, Subsection 5.2.1: Types of interviews

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 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.

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

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

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

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.

According to ISO 22301:2019, clause 10, improvement consists of two elements: nonconformity and corrective action, and continual improvement. Nonconformity and corrective action is the process of identifying and addressing any deviations from the requirements of the standard or the organization’s own policies and procedures. It involves taking actions to eliminate the causes of nonconformities, prevent their recurrence, and reduce their impact. Continual improvement is the process of enhancing the suitability, adequacy, and effectiveness of the BCMS and its performance. It involves identifying and implementing opportunities for improvement based on the results of monitoring, measurement, analysis, evaluation, internal audit, and management review. References: : ISO 22301 Auditing eBook, page 11 : ISO 22301:2019, clause 10 : ISO 22301: Clause 10 - Improvement – ISO Templates and Documents Download : ISO 22301 continuous improvement – How to achieve it - Advisera