Overview
Business Continuity Planning is the structured process for identifying critical business operations and defining how the organization will continue operating during and after a disruptive incident. This process ensures risks to availability and operations are mitigated in line with SOC 2 CC9.1 requirements.
Step-by-Step Process
Define scope and objectives
The CEO defines the scope of the Business Continuity Plan (BCP), including systems, teams, and locations covered, and confirms recovery objectives. This establishes clear boundaries and success criteria for the plan. The output is a documented BCP scope and objectives statement.
Role: CEO
Identify critical business processes
Process owners, coordinated by the CEO, identify and document critical business processes that support customer commitments and revenue. Dependencies on systems, vendors, and personnel are captured. The output is a prioritized list of critical processes.
Role: CEO
Conduct business impact analysis
The CEO leads a Business Impact Analysis (BIA) to assess the operational, financial, and customer impact of disruptions. Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs) are defined for each critical process. The output is an approved BIA document.
Role: CEO
Assess continuity risks and scenarios
The CEO identifies plausible disruption scenarios such as system outages, data loss, facility unavailability, or workforce disruption. Each scenario is evaluated for likelihood and impact. The output is a documented risk and scenario assessment.
Role: CEO
Define recovery and continuity strategies
For each critical process and scenario, the CEO defines recovery strategies, including backup systems, alternate workflows, and external support. Responsibilities and escalation paths are assigned. The output is a set of documented continuity and recovery strategies.
Role: CEO
Document the business continuity plan
The CEO compiles scope, BIA results, scenarios, and recovery strategies into a formal Business Continuity Plan. The plan includes contact lists, communication procedures, and step-by-step recovery actions. The output is a finalized BCP document with version control.
Role: CEO
Review and approve the plan
The CEO reviews the completed BCP for accuracy, completeness, and alignment with business objectives. Formal approval is documented to demonstrate accountability. The output is an approved and dated BCP.
Role: CEO
Schedule annual review and testing
The CEO schedules an annual review and tabletop or walkthrough test of the BCP. Findings and required updates are documented for follow-up. The output is a review schedule and test record.
Role: CEO
What You Need Before Starting
- Current organizational chart and role assignments
- System inventory and architecture documentation
- Risk assessment or risk register
- Access to documentation tool (Confluence, Google Docs, or Spreadsheet)
Evidence Your Auditor Expects
- Approved Business Continuity Plan document with version number and approval date
- Business Impact Analysis document dated within the last 12 months
- List of critical business processes with RTO/RPO values and last updated date
- Annual BCP review or test record with date, participants, and outcomes
How This Looks In Your Tools
Confluence
In Confluence, navigate to the appropriate Space from the top navigation bar, then select “Create” > “Page” to create a new Business Continuity Plan page. Use a predefined template or insert headings for Scope, BIA, Recovery Strategies, and Approval. Add page restrictions via “•••” > “Restrictions” to limit editing to the CEO.
Use the “Insert” > “Table” menu to document critical processes, RTOs, and RPOs. Attach supporting documents such as the BIA using “Insert” > “Files and images.” Enable version tracking by relying on Confluence page history.
Once finalized, add an approval section with the CEO’s name and approval date, then publish the page. Schedule the annual review by adding a Confluence task or linking the page to a Jira ticket with a due date.
Google Docs
In Google Drive, select “New” > “Google Docs” and title the document “Business Continuity Plan.” Use “Insert” > “Table of contents” to structure the document and add sections for Scope, BIA, Scenarios, and Recovery Procedures.
Document critical processes and recovery objectives using tables via “Insert” > “Table.” Share the document using the “Share” button, granting edit access only to the CEO and view access to relevant stakeholders.
Record approval by adding an approval section with the CEO’s name and date. Use “File” > “Version history” > “Name current version” to label the approved version and demonstrate change tracking for auditors.
Spreadsheet
Create a new spreadsheet in Excel or Google Sheets titled “Business Continuity Plan Register.” Use separate tabs for Critical Processes, BIA Results, Risk Scenarios, and Recovery Strategies.
In the Critical Processes tab, add columns for Process Name, Owner, RTO, RPO, and Last Reviewed Date. Use data validation and filters to ensure consistency and traceability.
Protect the spreadsheet using “Review” > “Protect Sheet” (Excel) or “Data” > “Protect sheets and ranges” (Google Sheets). Record CEO approval in a dedicated Approval tab with name, date, and signature or confirmation note.
Common Audit Findings
- Business continuity plan not reviewed annually
- Auditors often find plans that exist but have not been reviewed or updated within the last year. Prevent this by scheduling a recurring annual review and documenting the review date and outcomes.
- Missing recovery objectives for critical processes
- Organizations may list critical processes without defined RTOs or RPOs. Ensure every critical process has documented and approved recovery objectives as part of the BIA.
- Lack of formal approval evidence
- Plans are sometimes unsigned or lack clear approval dates. Always include an explicit approval section with the CEO’s name and approval date to demonstrate accountability.
- Continuity plan does not align with current operations
- Business changes can make continuity plans outdated. Mitigate this by updating the BCP whenever major systems, vendors, or organizational changes occur.