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

Business Impact Analysis (BIA) is an objective approach that assesses the organisational activities and determines their criticality, dependencies, and recovery priorities. BIA is a key process in developing a business continuity management system (BCMS) according to ISO 22301. BIA helps to identify the potential impacts of disruptions to the organisation’s critical functions and processes, such as financial losses, reputational damage, legal liabilities, regulatory penalties, customer dissatisfaction, etc. BIA also helps to determine the recovery time objectives (RTOs), recovery point objectives (RPOs), and minimum business continuity objectives (MBCOs) for each critical function and process. BIA provides the basis for developing business continuity strategies and plans that ensure the continuity and resilience of the organisation. References:

• ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.3: Business Impact Analysis1
• ISO/TS 22317:2021(en), Security and resilience — Business continuity management systems — Guidelines for business impact analysis2

The act step in the PDCA cycle validates improvements by taking actions to address any gaps, nonconformities, or opportunities for improvement identified in the check step. The act step also involves reviewing the effectiveness of the actions taken and determining whether further improvement is possible or necessary. The act step closes the PDCA cycle and leads to a new plan step for the next cycle of continual improvement. The act step is one of the key requirements of ISO 22301, as it demonstrates theorganization’s commitment to enhance its business continuity capability and performance. References: ISO 22301 Auditing eBook, page 10 1; ISO 22301:2019, clause 0.3 2

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

 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

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

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

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

 According to ISO 22301 Lead Auditor objectives and content, workshops are one of the methods that can be used to conduct a business impact analysis (BIA). Workshops bring a group of people together into a discussion, where they can share their knowledge, opinions, and perspectives on the organization’s processes, resources, dependencies, and impacts. Workshops can help to identify and prioritize the critical activities and resources that are essential for the continuity of theorganization’s operations. Workshops can also facilitate the communication and collaboration among different stakeholders, such as process owners, managers, employees, and customers. Workshops can be conducted in various formats, such as face-to-face, online, or hybrid, depending on the availability and preferences of the participants. Workshops should be planned and facilitated by a competent person, who can guide the discussion, ask relevant questions, collect and document the information, and ensure the validity and consistency of the results. References: ISO 22301 Auditing eBook, page 381; ISO 22301 Clause 8.2 Business impact analysis and risk assessment2

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.

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

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

A multidisciplinary function encompasses the knowledge and skills of a diverse group of professionals to manage the corporate Business Continuity Management programme.According to the ISO 22301 Auditing eBook, "Business continuity is a multidisciplinary function that involves several different departments and business units, such as IT, human resources, finance, legal, public relations, etc. Each of these departments and units has a role and responsibility in ensuring the continuity of the organization’s critical activities and processes in the event of a disruption. Therefore, a business continuity auditor needs to have a broad understanding of the various aspects and functions of the organization, as well as the specific requirements and expectations of each stakeholder group."1 References:

• ISO 22301 Auditing eBook, Chapter 2: Business Continuity Concepts and Principles, Section 2.2: Business Continuity Auditor Competencies1

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

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

 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.

The Act phase of the PDCA cycle consists of improvement. The Act phase is the fourth and final phase of the PDCA cycle, following the Check phase. In the Act phase, the organization takes action based on what it learned from the Check phase, where it monitored and evaluated the results of the Do phase, where it implemented the plan developed in the Plan phase. The action can be one of the following options1:

• If the change was successful, the organization can standardize and stabilize the change, and communicate and document the results and the lessons learned. The organization can also identify opportunities for further improvement and start a new PDCA cycle with a different plan.
• If the change was not successful, the organization can identify the root causes of the failure and revise the plan accordingly. The organization can also start a new PDCA cycle with the revised plan or a different plan. The Act phase is the phase where the organization improves its processes and performance by incorporating the learning from the previous phases. The Act phase also helps the organization to sustain the improvement and prevent the recurrence ofproblems. The Act phase is aligned with the clause 10 of ISO 22301, the international standard for business continuity management systems, which requires the organization to improve its business continuity management system by taking corrective actions, addressing nonconformities, and enhancing customer satisfaction2. 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 10: Improvement2

Support does not lay out the foundation of planning and managing the BCMS, but rather provides the necessary resources and arrangements to enable the effective operation of the BCMS. Support includes aspects such as competence, awareness, communication, documented information, and organizational knowledge. The foundation of planning and managing the BCMS is laid out by the leadership and planning clauses of ISO 22301, which define the roles and responsibilities, policies, objectives, and actions to address risks and opportunities for the BCMS. References: ISO 22301 Auditing eBook, page 15 1; ISO 22301:2019, clauses 5, 6, and 7 2

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.

 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

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

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

Communication is the process of engaging staff and external stakeholders in all aspects of the BCMS. Communication ensures that the BCMS objectives, policies, procedures, roles and responsibilities are understood and accepted by the relevant parties. Communication also facilitates the exchange of information and feedback between the BCMS and its interested parties, such as customers, suppliers, regulators, media, etc. Communication helps to build trust, awareness and commitment to the BCMS, as well as to enhance its performance and effectiveness. References: ISO 22301 Auditing eBook, page 30; ISO 22301:2019, clause 7.4

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 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.

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

Business Continuity Management (BCM) is the approach that identifies potential threats to an organization and impacts to business operations. BCM provides a framework for building organizational resilience with the capability of an effective response that safeguards the interests of its key stakeholders, reputation, brand and value-creating activities1. BCM involves the following steps2:

• Establishing the context and scope of the BCMS
• Conducting a business impact analysis (BIA) and risk assessment (RA)
• Developing business continuity strategies and solutions
• Implementing business continuity plans and procedures
• Exercising, testing and reviewing the BCMS
• Continually improving the BCMS References:
• ISO 22301:2019, clause 3.6
• ISO 22301 Auditing eBook, page 15