How do you prepare for a business continuity audit and assurance project?

e.g. We will follow ISO 22301:2019, and/ or BCI GPG:2018; The scope of the audit will be as defined on the scope of our BCMS; The audit program is expected to provide areas of improvement wrt our complains to the said standard/ framework/ good practices; The audit report will contain strengths and areas of improvement in terms of non-compliance to the said requirements in the form of minor and major non-compliances; the audit report will be shared with the BCM Head and the program sponsor, who may share it with other parties in full or part. The actions will be tracked to closure.

Prepare for a business continuity audit by clarifying audit objectives, reviewing and updating documentation, and engaging key stakeholders. Conduct a thorough risk assessment and Business Impact Analysis (BIA), ensuring compliance with regulatory requirements and industry standards. Test and exercise business continuity plans through drills and simulations, and implement training programs for involved teams. Document controls, procedures, and evidence of plan effectiveness, maintaining an audit trail and effective documentation management. Develop a clear communication plan for stakeholders and consider engaging external auditors or experts for an unbiased assessment.

Preparar-se para um projeto de auditoria em continuidade de negócios começa com a definição clara do escopo e dos objetivos da auditoria. É essencial envolver todas as partes interessadas para garantir que as áreas críticas da organização sejam incluídas, desde processos operacionais até sistemas de TI. Estabelecer objetivos mensuráveis permite avaliar a eficácia das práticas de continuidade de negócios e identificar lacunas que precisam ser abordadas. Além disso, essa definição proporciona um guia estruturado que ajuda a equipe de auditoria a se concentrar nos aspectos mais relevantes, garantindo uma abordagem eficiente e direcionada para a melhoria do sistema de continuidade.

To prepare for a business continuity audit, start by outlining what you want to achieve. Decide which areas of your business to focus on and what standards to use. Think about the key processes you need to evaluate and what you hope to gain from the project. This step helps you set clear goals, ensuring your audit aligns with your company's needs and objectives. It's like creating a roadmap that guides your entire project.

First, begin by conducting a thorough examination of the continuity plans and processes, ensuring alignment with industry best practices or certification standards like ISO22301. Engage stakeholders to gain insights into organizational priorities and potential risks. Subsequently, review current documentation to the audit objectives and scope in accordance with recognized standards for business continuity management.

e.g. We will plan for self assessments, internal audits, and tests. A test program will be drawn separately. The frequency of all assessments, tests, and audits will be once a year or upon significant changes in or to our business. Certification to ISO 22301 is currently not our objective or we plan to get certified to ISO 22301 by the end of 2024.

When choosing audit methods, think about what works best for your organization. Consider how complex your continuity plans are and what resources you have available. Methods like document review, interviews, testing, and metrics analysis can help you get a good picture of how well your plans are working. Mix and match these methods to cover all your bases and find areas where you can do better.

Choose the right audit methods for your business continuity project. Options include internal audits, external reviews, self-checks, or practice runs. Each has its pros and cons in terms of cost, expertise, and objectivity. Consider what you need to achieve, how often you'll audit, and what resources you have. Pick methods that give you the most useful insights for improving your business continuity management system.

For business continuity to be ensure, first prioritize periodic auditing to spot deficiency in operation and financial activities and to identify loopholes in budgeting, financing and execution of strategies. Ensuring report hits the necessary target in a business will help the business to make a better decision that supports sustainability and continuity.

A good practice is to have the audit process and templates developed and approved in advance (most likely part of the BCM Manual). Having gone across companies and countries, as an external auditor, I have found gaps at this place.

To plan an audit, first, clarify what you want to achieve and what areas you'll focus on. Get input from key people and figure out what resources you'll need. Create a detailed plan that includes who does what and when. Think about what could go wrong and prioritize what needs the most attention. Get all the documents and schedule any meetings or visits you'll need. Make sure everyone knows their part and keep in touch with everyone involved. Finally, review your plan and make any changes before you start.

It is vital to establish rapport with the auditees, generally, they are scared of audits and then do not open up - which hinders the objectives of the audit. I recommend my copyright communication cycle to be followed: Who (communicates)-What (the content)-to Whom (the interested party)-When (frequency/ timing)-How (the medium).

It is said that you must have a hacker's mind to catch a hacker. The same is true about audits also. The best preparation to face an audit is to get the auditees training in conducting the audits - so they understand the auditors' minds also. It is an art to make observations (sometimes, the auditee may show a lot, and sometimes none), and then write the report. So, this needs to be practiced. I will recommend that the training is highly customised and spends much time on 'evidence' - what evidence can be produced for which requirements, how to create, preserve, and present them.

After the audit, review the findings thoroughly and identify areas for improvement. Develop an action plan to address any gaps or weaknesses highlighted during the audit. Engage stakeholders and ensure they understand the necessary changes. Regularly update your Business Continuity Management System based on feedback and evolving business needs. Continuous improvement should be a priority; schedule periodic reviews and tests to ensure the BCMS remains effective and resilient. By proactively addressing issues and enhancing your BCMS, you can better prepare for future audits and ensure ongoing business continuity.

Após a conclusão da auditoria, o relatório gerado desempenha um papel fundamental na melhoria contínua do Sistema de Continuidade de Negócios. É vital que as organizações não vejam o relatório apenas como um documento final, mas sim como uma ferramenta estratégica para implementação de melhorias e acompanhamento. A partir das recomendações identificadas, as empresas devem criar um plano de ação que inclua prazos e responsáveis, assegurando que as melhorias sejam priorizadas e executadas. Adicionalmente, a realização de auditorias regulares e o acompanhamento das ações corretivas garantem que o sistema se mantenha atualizado e eficaz frente a novas ameaças e desafios.

As they say 'you need to have a hacker's mind to catch a hacker, you need to have an auditor's mind to prepare for an audit. Hence the practitioners should also attend audit training. It is possible that you have what the auditor is looking forward to but not at the right place and not in the right format (or as expected by the auditor). This is not too bad. Be prepared to show what you have and where. While different auditors behave differently, as long as you have what is required, you can always make improvements to bring it to the right place and in the right format also. For this reason, you (auditee) should be clear about the requirements mentioned in the standard. A mapping of requirement vs document/artifact/evidence is good.