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

A management system is an integrated set of processes and tools that an organization uses to develop its strategy, transform it into actions, and monitor and evaluate its performance and effectiveness. A management system helps an organization to achieve its objectives and continually improve its performance.

 A control is a measure that is implemented to reduce or eliminate the risk from occurring, or to mitigate the impact of the risk if it occurs. A control can be preventive, corrective, or detective, depending on the stage of the risk management process. A control can also be administrative, technical, or physical, depending on the nature of the risk and the organization. A control can be designed, implemented, monitored, and evaluated based on the risk assessment and the risk treatment plan. A control can be documented in the business continuity policy, objectives, plans, procedures, and other relevant documents. A control can be audited to verify its effectiveness and efficiency in achieving the intended outcomes. References:

PECB Certified ISO 22301 Lead Auditor eLearning Training Course1, Module 3: Fundamental principles and concepts of a business continuity management system (BCMS), Lesson 3.2: Business continuity management system (BCMS), Slide 15: Risk management

ISO 22301 Auditing eBook2, Chapter 3: Fundamental principles and concepts of a business continuity management system (BCMS), Section 3.2: Business continuity management system (BCMS), Subsection 3.2.4: Risk management

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

 According to ISO 22301 Lead Auditor objectives and content, the communication structure for managing information between various groups of stakeholders in the organization should include both internal and external communication. Internal communication refers to the exchange of information and messages within the organization, such as between employees, managers, and business continuity teams. External communication refers to the exchange of information and messages with parties outside the organization, such as customers, suppliers, regulators, media, and the public. Both types of communication are essential for ensuring the effective operation of the business continuity management system (BCMS) and the successful response and recovery from disruptions. The communication structure should be aligned with the organization’s communication strategy, which should identify the communication needs, define the communication channels, and establish the communication procedures for the BCMS. The communication structure should also consider the unique communication requirements that may arise during a disruption, such as timely and accurate information, alternative communication channels, and managing rumours and misinformation. References: ISO 22301 Auditing eBook, page 291; ISO 22301 Clause 7.4 Communication2

 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.

Policy formulation is the BCMS process that is used to develop a business continuity policy that sets out an operating framework. According to ISO 22301, the organization shall establish a business continuity policy that is appropriate to the purpose and context of the organization and provides a framework for setting business continuity objectives. The policy shall also demonstrate top management’s commitment to the BCMS and its continual improvement1. The policy formulation process involves the following steps2:

Define the scope and objectives of the policy

Identify the relevant internal and external issues and requirements

Analyze the current state of the BCMS and the gaps to be addressed

Draft the policy statement and the key principles and guidelines

Review and approve the policy by the top management

Communicate and distribute the policy to the relevant stakeholders

Monitor and update the policy as needed References:

ISO 22301:2019, clause 5.3

ISO 22301 Auditing eBook, page 24

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

The check phase in the PDCA cycle is the phase where the organization monitors, measures, analyzes, and evaluates the performance and effectiveness of the BCMS against the business continuity policy, objectives, and requirements. The check phase involves conducting internal audits, management reviews, and performance evaluations to identify the strengths and weaknesses of the BCMS, as well as the opportunities for improvement. The check phase also involves collecting and analyzing feedback from interested parties, such as customers, suppliers, regulators, and employees, to ensure that the BCMS meets their needs and expectations. The check phase provides the basis for the act phase, where the organization takescorrective actions and preventive actions to address the nonconformities and risks identified in the check phase. References: ISO 22301:2019, Clause 9; ISO 22301 Auditing eBook, Chapter 5.1.

 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

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