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ISO 22301:2019BUSINESS CONTINUITY STANDARD IMPLEMENTATION GUIDE50,000CERTIFICATESGLOBALLYTRANSPARENT90

ISO 22301:2019IMPLEMENTATION GUIDE2ISO 22301:2019 IMPLEMENTATION GUIDE

ContentsIntroduction to the standardP04Benefits of implementationP06Key principles and terminologyP08PDCA cycleP09Risk based thinking / auditsP10Process based thinking / auditP11Annex SLP12CLAUSE 1: ScopeP13CLAUSE 2: Normative referencesP14CLAUSE 3: Terms and definitionsP15CLAUSE 4: Context of the organizationP16CLAUSE 5: LeadershipP18CLAUSE 6: PlanningP20CLAUSE 7: SupportP22CLAUSE 8: OperationP24CLAUSE 9: Performance evaluationP26CLAUSE 10: ImprovementP27Get the most from your managementP28Next steps once implementedP29Business Continuity Management TrainingP30ISO 22301:2019 IMPLEMENTATION GUIDE3

INTRODUCTIONTO THE STANDARDISO 22301:2019 is the latest version of the international standard for Business ContinuityManagement Systems. This standard provides a best practice framework to supportorganizations to effectively manage the impact of a disruption to its normal operation.The purpose of the standard is not necessarily to achieve total mitigation of impact from disruption. It isto support an organization to understand the amount and type of impact it is willing to accept following adisruption. Following which the organization develops a business continuity system sized correctly for theorganizational need.Many organizations will at some point experience a business disruption. The cause and nature of disruptiveevents is ever-changing. Organizations need to be able to think dynamically about this changing threatlandscape and put in place appropriate plans to mitigate impacts.The ISO 22300 FamilyOrigin of the ISO 22301 standard heralds back to the ISOtechnical committee ISO/TC 23, which focussed on addressingconcerns related to societal security. The standard is nowmanaged by ISO/TC 292 - Security and Resilience. The firstiteration of the ISO 22301 standard was published in 2012. Thesecond edition was published in October 2019 and is the focusof this implementation guide.There are currently 11 standards in the ISO 22300 series.The other standards in the series provide more detailedguidance and requirements for specific issues related tobusiness continuity. This ranges from emergency responsemanagement through to mass evacuations.Regular Reviews and UpdatesThe 2019 version of the standard is reflective of the broadermovement of ISO standards towards the application of riskbased thinking, understanding organizational context andsatisfying the needs of interested parties. The 2019 versioncontains less prescriptive requirements and is more flexiblein its approach to documented information. The 2019 versionadditionally includes the new requirement to effectively planchanges to the Business Continuity Management System(BCMS).Within the series, the most importantstandards for an organization seeking toimplement an effective Business ContinuityManagement System are: ISO 22300:2018 - Security and resilience– VocabularyISO standards are subject to review approximatelyevery five years to assess whether an update isrequired. ISO 22301:2019 - Security and resilience– Business Continuity Management Systems– RequirementsThe most recent update to the ISO 22301 standard in 2019brought about a number of changes. Whilst previous edition(2012) was one of the forerunner standards in adoptingan Annex SL type format, the new edition firmly aligns thestandard with Annex SL.4ISO 22301:2019 IMPLEMENTATION GUIDE ISO 22313:2020 - Security and resilience– Business Continuity Management Systems– Guidance. Provides helpful direction in support ofthe practical implementation and operation of abusiness continuity system

ISO 22301:2019 IMPLEMENTATION GUIDE5

BENEFITS OFIMPLEMENTATIONIt has been demonstrated in recent times that a company’s ability to manage disruptiveevents is becoming central to its survival. The variety of threats which can cause businessdisruption is ever-increasing. From cyber-attacks and global pandemics to natural disasters;an organization needs a toolset to manage itself through uncertain times.In the past, business continuity planning tended to be reserved for critical national infrastructure and major corporations.Today, business continuity is an issue that affects practically all organizations to some degree. A correctly implementedBusiness Continuity Management System should be scaled to the size and complexity of the organization – making itsuitable for SME and large corporation alike.The core purpose of a Business Continuity Management System is to enable the mitigation of a disruption. Depending onthe organization the benefits this will work in support of its goals; whether that is to save lives in a hospital or to reducefinancial impact to a manufacturing company.VISIBLE RESILIENCEPEACE OF MINDAn effective BCMS provides evidence to currentand potential customers of organizationalpreparedness for disruption. This is particularlyimportant in sectors where disruption can havesignificant impacts on people’s lives as wellas financial impacts; including government,healthcare, financial, defence, social services.The future is uncertain. An effectivelyimplemented BCMS gives an organizationconfidence to move forward knowing it canmanage a disruption. This peace of mind spansthe organization from personnel operationsteams to board membership.COMPETITIVE ADVANTAGEENHANCE CYBER SECURITY AND ITFAILURE RESILIENCEBeing able to continue to operate during orshortly after a disruption gives a company acompetitive advantage. In the short term itmay be able to win business from competitorswhich are unable to operate or are doing soin a diminished capacity. In the longer term, acompany can generate reputational benefitsthat will attract customers as well as benefit fromstronger financial capabilities.Cyber security and IT disaster planning ishigh on the agenda of many organizations. Abusiness continuity plan supports a companyto manage the impact of the IT disruption. Thiscan be by malicious action or from infrastructurefailure. Crypto viruses, DDoS attacks and datacentre failures can create deep and long lastingdisruption to all functions of an organization.In addition, a Business Continuity ManagementSystem supports an organization to bid or tendermore effectively.PROTECT ORGANIZATIONAL VALUEA BCMS helps to mitigate the negative impactof a disruptive event. Practically speaking, thiscan save the organization significant amounts ofmoney, time and reputational impact.6ISO 22301:2019 IMPLEMENTATION GUIDECyber security certifications such as ISO 27001and Cyber Essentials do not fully addresscontinuity challenges in the event of a disruption.The ISO 27001 attempts to address continuitywithin the IT function itself but this does notextend to the rest of the organization. ISO 22301provides a framework for addressing the widerorganizational impact of IT failure. As a result, aBusiness Continuity Management System(ISO 22301) is well suited to be integratedwith an ISO 27001 information securitymanagement system.

High Level ViewA Business Continuity Management System operateson similar principles to other management systems. Thesystem is built on the Plan-Do-Check-Act model. Determine the organizational needs andunderstand the rationale for business continuityplans: What is important to continue in the event of adisruption Why is that important and to whom? What level of disruption is the organization and itsstakeholders prepared to accept?One of the practical challenges with BCMS is that it comesinto action infrequently. Whilst quality management systemsare implemented into the company’s day to day operation,business continuity systems are only fully brought into actionwhen a disruption occurs. This means there needs to be agreater emphasis on: Business continuity plan (BCP) testing or drills Retaining and refreshing organizational capabilities tosupport business continuity Periodic reviews of the system, its processes and rationaleto ensure it remains aligned to a changing organization. P utting in place a framework for achieving themitigation of the disruption. This can include: Processes Capabilities Response structures C heck the performance and effectiveness of thesystem through monitoring. Practically speakingthis will involve testing BC plans through variousmeans. I mprove the system based on measuresestablished, revisit the rationale for the businesscontinuity plans and their alignment to what hasbeen implemented.ISO 22301:2019 IMPLEMENTATION GUIDE7

KEY PRINCIPLESOF BUSINESSCONTINUITYBusiness continuity is grounded in a number of key principles which need to be consistentlyapplied to a business continuity system for it to be effective.Clear ObjectivesAn organization’s senior managementand board of directors are responsiblefor business continuity, thisresponsibility must be understoodand accepted. Business continuitymanagement should be an integralcomponent of overall risk management.An organization should have in placeclear business continuity objectivesthat reflect the nature of their activitiesand their impact on stakeholders. Thissupports the prioritisation and resourceallocation to the business continuityprocess. These objectives should clearlydefine the expected continuity levels andcontinuity times.In the event of a disruption, the absenceof clearly defined responsibilities,authorities and roles can cause abusiness continuity plan to becomeineffective.CommunicationOrganizations should include withintheir business continuity plans howand when they will communicate withintheir organizations, with customers andinterested parties (such as regulatorsor suppliers).8Impact andRisk EvaluationResponsibilityISO 22301:2019 IMPLEMENTATION GUIDEThe business continuity standard isdifferent from others in that it focusseson the “what if”. The ability to identifyand plan for potential business impactsand risks is key to an effective businesscontinuity system.TestingThe Business Continuity ManagementSystem should be periodically tested inorder to evaluate its effectiveness andmake changes as required.

PDCA CYCLEISO 22031 is based on the Plan-Do-Check-Act (PDCA) cycle, also known as the Demingwheel or the Shewhart cycle. The PDCA cycle can be applied not only to the managementsystem as a whole but to each individual element to provide an ongoing focus oncontinuing improvement. In brief:Plan:Do:Check:Act:Understand externalcontext and needsof interested parties.Identify risk andopportunity. Establishobjectives and resourcesrequired.Implement what hasbeen planned. From anew Business ContinuityManagement Systemdown to small processchanges.Monitor and measurethe effectiveness of thebusiness continuity.Test business continuityplans and monitoroutcomes.Take action wherenecessary based onmonitoring, measuringand other drivers foraction.PDCA Model ISO 22301NEEDS OFINTERESTEDPARTIESESTABLISHBCMSPlanDoMAINTAINAND IMPROVEBCMSBCMSREQUIREMENTSANDEXPECTATIONSNEEDS OFINTERESTEDPARTIES METIMPLEMENTAND OPERATEBCMSActCheckTEST,MONITORAND REVIEWBCMSBUSINESSCONTINUITYPlan-Do-Check-Act is an example of a closed-loop system. This ensures the learning from the ‘do’ and ‘check’ stages areused to inform the ‘act’ and subsequent ‘plan’ stages. In theory this is cyclical, however it’s more of an upward spiral as thelearning moves you on each time you go through the process.ISO 22301:2019 IMPLEMENTATION GUIDE9

RISK BASEDTHINKING/AUDITSAudits are a systematic, evidence-based, process approach to evaluation of your BusinessContinuity Management System. They are undertaken internally and externally to verifythe effectiveness of the BCMS. Audits are a brilliant example of how risk-based thinking isadopted within Business Continuity Management.1st Party Audits– Internal AuditsInternal audits are a great opportunity for learning withinyour organization. They provide time to focus on a particularprocess or department in order to truly assess its performance.The purpose of an internal audit is to ensure adherence topolicies, procedures and processes as determined by you, theorganization, and to confirm compliance with the requirementsof ISO 22301.2nd Party – External AuditsSecond party audits are usually carried out by customers orby others on their behalf, or you may carry them out on yourexternal providers. 2nd party audits can also be carried out byregulators or any other external party that has a formal interestin an organization.You may have little control over the timing and frequency ofthese audits, however establishing your own BCMS will ensureyou are well prepared for their arrival.Audit Planning3rd Party – Certification AuditsDevising an audit schedule can sound like a complicatedexercise. Depending on the scale and complexity of youroperations, you may schedule internal audits anywhere fromevery month to once a year. There’s more detail on this insection 9 – performance evaluation.Third party audits are carried out by external bodies, usuallyUKAS accredited certification bodies such as NQA.Risk-Based ThinkingThe best way to consider frequency of audits is to look at therisks involved in the process or business area to be audited.Any process which is high risk, either because it has a highpotential to go wrong or because the consequences would besevere if it did go wrong, should be audited more frequentlythan a low risk process.How you assess risk is entirely up to you. ISO 22301 doesn’tdictate any particular method of risk assessment or riskmanagement.The certification body will assess conformance to theISO 22301:2019 standard. This involves a representative of thecertification body visiting the organization and assessing therelevant system and its processes. Maintaining certificationalso involves periodic reassessments.Certification demonstrates to customers that you have acommitment to quality.CERTIFICATIONASSURES: regular assessment to continuallymonitor and improve processes credibility that the system can achieveits intended outcomes reduced risk and uncertainty andincrease market opportunities consistency in the outputs designed tomeet stakeholder expectations.10ISO 22301:2019 IMPLEMENTATION GUIDE

PROCESS BASEDTHINKING/AUDITSA process is the transformation of inputs to outputs, which takes place as a series ofsteps or activities which result in the planned objective(s). Often the output of one processbecomes an input to another subsequent process. Very few processes operate in isolationfrom any other.A business continuity system that is applicable to just onedepartment is not likely to achieve valid continuity objectives.Process based thinking is critical to business continuityplanning. In order to achieve business continuity objectives,an organization has to create business continuity plans whichwill be process based. Spanning multiple processes andorganizational functions.In practice this means that a business continuity system shouldconsider the end to end process through the organization andincorporate relevant support functions to achieve its objectives.The diagram below illustrates how an organization couldconsider prioritising its business continuity objectives throughits business continuity strategy. In the example below, anorganization providing critical healthcare equipment prioritisesits servicing activity and key support functions after a majordisruptive event.BUSINESS AS NORMALPROCESS FLOWSUPPORT NGCATASTROPHIC BUSINESS DISRUPTION EVENTSERVICING ANDSUPPORTINGFUNCTIONSPRIORITISEDSTAKEHOLDERNEEDS (E.G.PATIENT CRITICALEQUIPMENT)PRIORITISED BUSINESSPROCESS FLOWSUPPORT NGISO 22301:2019 IMPLEMENTATION GUIDE11

ANNEX SLOne of the major changes introduced into the 2019 revision of ISO 22301 was the adoptionof Annex SL for the clause structure of the revised standard. Annex SL (previously knownas ISO Guide 83) was used within ISO by standards writers to provide a common corestructure for management system standards.ISO 22301 (Business Continuity Management Systems)adopted this structure during its 2019 revision. ISO 27001(Information Security Management System Standard) alsoadopted this structure during its 2013 revision as well asISO 14001 (Environmental Management System Standard)which adopted this structure during its 2015 revision. Thenewly published ISO 45001 (Health and Safety ManagementSystem Standard) also follows this same common structure.Prior to the adoption of Annex SL there were many differencesbetween the clause structures, requirements and terms anddefinitions used across the various management systemstandards. This made it difficult for organizations to integratethe implementation and management of multiple standards;Environment, Quality, Health and Safety and InformationSecurity being among the most common.High Level StructureAnnex SL consists of 10 core clauses:1. Scope2. Normative References3. Terms and Definitions4. Context of the Organization5. Leadership6. Planning7. Support8. Operation9. Performance Evaluation10. ImprovementOf these clauses, the common terms and coredefinitions cannot be changed. Requirements maynot be removed or altered, however discipline-specificrequirements and recommendations may be added.All management systems require a consideration ofthe context of the organization (more on this in section4); a set of objectives relevant to the discipline, in thiscase quality, and aligned with the strategic directionof the organization; a documented policy to supportthe management system and its aims; internal auditsand management review. Where multiple managementsystems are in place, many of these elements can becombined to address more than one standard.12ISO 22301:2019 IMPLEMENTATION GUIDE

THE 10 CLAUSES OF ISO 22301:2019ISO 22301 is made up of 10sections, known as clauses.As with most other ISOmanagement systemstandards, the requirementsof ISO 22301 that need tobe satisfied are specified inClauses 4.0 – 10.0. Similar toISO 27001, the organizationmust comply with all of therequirements in Clauses 4.0 –10.0; they cannot declare oneor more clauses as being notapplicable to them.ORGANIZATIONALCONTEXTBUSINESS CONTINUITYOBJECTIVESBUSINESS IMPACTASSESSMENTThe diagram to the rightprovides an illustrativeflow of the concepts in thestandard:RISK ASSESSMENTBUSINESS CONTINUITYSTRATEGIES AND SOLUTIONSBUSINESS CONTINUITY PLANS(BCP)CLAUSE 1:SCOPEThe Scope Section of ISO 22301 Sets Out: the purpose of the standard the types of organizations it is designed to apply to the sections of the standard (called Clauses) that containrequirements that an organization needs to comply with inorder for the organization to be certified as “conforming” toit (i.e. being compliant).ISO 22301 is designed to be applicable toany type of organization. Regardless ofsize, complexity, industry sector, purpose ormaturity, any organization can implement andmaintain a BCMS that complieswith ISO 22301.ISO 22301:2019 IMPLEMENTATION GUIDE13

CLAUSE 2:NORMATIVEREFERENCESIn ISO standards, the normative references section lists any other standards that containadditional information that is relevant to determining whether or not an organizationcomplies with the standard in question. In ISO 22301 only one document is listed –ISO 22300, Security and Resilience – Vocabulary.Some of the terms used or requirements detailed in ISO 22301are explained further in ISO 22300. Reference to ISO 22300 isvery useful in helping you to understand a requirement betteror identify the best way to comply with it.14ISO 22301:2019 IMPLEMENTATION GUIDETIP – External auditors will expect you to have taken theinformation contained in ISO 22300 into account in thedevelopment and implementation of your BCMS.

CLAUSE 3:TERMS ANDDEFINITIONSThere are 31 terms and definitions given in ISO 22301 and reference is made to the mostcurrent version of ISO 22300 Security and Resilience –Vocabulary. The current version ofthis document contains 277 definitions of terms that are used in ISO 22301.In addition to the terms explained in the “KeyPrinciples and Terminology” section above, themost important terms used in ISO 22301 are:‘Business Continuity’– capability of an organization to continue the delivery ofproduct or services at acceptable predefined levels followinga disruption.‘Business Continuity Management’– holistic management process that identifies potentialthreats to an organization and the impact those threats, ifrealised, can cause on business operations, and providesa framework for building organizational resilience with thecapability of an effective response that safeguards theinterests of key interested parties, reputation, brand andvalue-creating activities.‘Business Continuity Plan’‘Invocation’– act of declaring that an organizations business continuityarrangements need to be put into effect in order to continuedelivery of key products or services.‘Maximum Tolerable Period ofDisruption (MTPD)’– time it would take for adverse impacts, which can arise asa result of not providing a product/service or performing anactivity, to become unacceptable.‘Minimum Business ContinuityObjective (MBCO)’– minimum level of services and/or products that is acceptableto an organization to achieve its business objectives during adisruption.‘Recovery Point Objective (RPO)’– documented procedures that guide an organization torespond, recover, resume and restore itself to a pre-definedlevel of operation following a disruption.– point to which information used by an activity is restored toenable the activity to operate on resumption.‘Business Impact Analysis’– period of time following and incident within which a productor service or an activity is resumed or resources arerecovered.– process of analysing activities and the effect that a businessdisruption can have upon them.‘Crisis Management Team’– group of individual functionality responsible for directing thedevelopment and execution of the response and operationalcontinuity plan, declaring and operational disruption oremergency crisis situation, and providing direction during therecovery process, both pre- and post-disruptive incident.‘Disruption’– event, whether anticipated (e.g. a labour strike or hurricane)or unanticipated (e.g. a blackout or earthquake), that causean unplanned, negative deviation from the expected deliveryof products or services according to an organizationsobjectives.‘Recovery Time Objective (RTO)’When you write your BusinessContinuity Management Systemdocumentation, you don’t have touse these exact terms. However, itdoes help to clarify the meaning andintention if you can define the termsyou have used. Providing a glossarywithin your system documentation maybe useful.ISO 22301:2019 IMPLEMENTATION GUIDE15

CLAUSE 4:CONTEXT OF THEORGANIZATIONThe purpose of a BCMS is to enable an organization to effectively respond to a disruptiveincident and to continue delivery of key products and services at a pre-defined level, untilthe resumption of normal operations.Internal ContextThe following are examples of the areas that should beconsidered when assessing the internal issues that may have abearing on the BCMS: Maturity: are you an agile start-up with a blank canvas towork on, or a 30 year old institution with well-establishedprocesses and contingency plans? Organization culture: is your organization relaxedabout how, when and where people work, or extremelyregimented? Dependencies: what are the internal dependencies that yourequire to respond effectively to the disruptive incident (ITServices, power, equipment)? Management: are there clear communication channelsand processes from the organization’s key decision makersthrough to the rest of the organization? Resource size: are you working with a limited amountresources, personnel and equipment? Resource maturity: are the available resources (employees/contractors) knowledgeable, fully trained, dependable andconsistent, or are personnel inexperienced and constantlychanging? Consistency: do you have uniform processes in placeacross the organization, or a multitude of different operatingpractices with little consistency? Equipment: do you require specialist equipment.External ContextThe following are examples of the areas that can beconsidered when assessing the external issues that may havea bearing on the BCMS: Landlord: do you need approval to upgrade physicalsecurity? Suppliers: are your suppliers able to provide you withsuppliers on time?16ISO 22301:2019 IMPLEMENTATION GUIDE Regulators / enforcement bodies: are there any regulatoryor statutory requirements that you need to consider whendeveloping your BCMS? Do you need to inform them thatyou’ve invoked your BCP? Economic/political: do currency fluctuations impact yourorganization? Dependencies: what are the external dependencies that yourequire to respond effectively to the disruptive incident (ITServices, supplies, power, equipment)? Environmental considerations: are there any environmentalissues that may impact on your BCMS? Customers: what impact will the invocation of your BCMShave on your customers? Do you need to inform them thatyou’ve invoked your BCP? Shareholders: are they very concerned about yourorganizations ability to respond to a disruptive incident?Interested PartiesAn interested party is anyone who can be affected by theinvocation of your BCP. Your interested parties will becomeclear through the process of carrying out a thorough analysisof internal and external issues. They are likely to includeshareholders, landlords, regulators, customers, employees,suppliers and may extend to the general public and theenvironment, depending on the nature of your business.You don’t have to try to understand or satisfy their everyneed, but you do have to determine which of their needs andexpectations are relevant to your BCMS.Legal and RegulatoryIdentify and keep up to date with any legal and regulatoryrequirements related to the continuity of your products andservices, activities and resources when implementing andmaintaining your BCMS. Document: document your legal, regulatory and othercompliance requirement and your approach to meetingthose requirements.

Scope of the Management SystemTo comply with ISO 22301, you must document the scope ofyour BCMS. Documented scopes typically describe: the boundaries of the physical site or sites included(or not included) the internal and external employee groups included(or not included) the internal and external processes, activities, products orservices included (or not included) key interfaces at the boundaries of the scope.TIP – Document or maintain a file of all of the informationcollated in your analysis of your organization’s context andinterested parties such as: Discussions with a senior representative of the organization,e.g. an MD, CEO or CTO Minutes of meetings or business plans A specific document that identifies internal/external issuesand interested parties and their needs and expectations e.g.a SWOT analysis, PESTLE study, or high-level business riskassessment.If you want to prioritise resources by building a BCMS thatdoesn’t cover all of your organization or its activities, selectinga scope that is limited to managing key stakeholder interestsis a pragmatic approach. This can be done by including onlyspecific sites, assets, processes, products and business unitsor departments.ISO 22301:2019 IMPLEMENTATION GUIDE17

CLAUSE 5:LEADERSHIPLeadership CommitmentLeadership in this context means active involvementin setting the direction of the BCMS, promoting itsimplementation; highlighting its importance and ensuringappropriate resources are made available. ensuring that the business continuity policy and businesscontinuity objectives are established and aligned with thestrategic direction of the organization ensuring the integration of the BCMS requirements into theorganizations business practices ensuring that the BCMS is adequately resourced communicating the importance of business continuity andconforming to the requirements of the BCMSISO 22301 places great importance on active engagement bytop management in the BCMS, based on the assumption thatthe engagement of top management is crucial in ensuringthe effective implementation, maintenance and continualimprovement of an effective BCMS by the wider employeegroup.Business Continuity PolicyRoles and ResponsibilitiesA vital responsibility of the leadership is to establish anddocument a Business Continuity Policy that is aligned to thestrategic direction of the organization. BCMS requirements shouldbe integrated in business processes and adequately resourced.Roles and responsibilities for Business Continuity shall beestablished, assigned and communicated within the organization.The policy shall: be appropriate for the purpose of the organization provide a framework for setting business continuity objectives includes a commitment to satisfy applicable requirements includes a commitment to continual improve the BCMS be communicated with the organization be available to interested parties as appropriate.The Business Continuity Policy may refer to, or include subpolicies that cover, key processes and activities that are importantto the continued provision of key products and services in theevent of a disruptive incident and recovery to normal operations.To demonstrate the importance of the Business Continuity Policyit should be authorised by Senior Management.TIP - To ensure your Business Continuity Policy is wellcommunicated and available to interested parties, it is a goodidea to: include it in induction packs and presentations for newemployees and contractors post the key statement on internal

The ISO 27001 attempts to address continuity within the IT function itself but this does not extend to the rest of the organization. ISO 22301 provides a framework for addressing the wider organizational impact of IT failure. As a result, a Business Continuity Management System (