+Test Restoration Using Sampling

Test Restoration Using Sampling

Description

Mechanisms exist to utilize sampling of available data backups to test recovery capabilities as part of business continuity plan testing.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Randomized data recovery testing

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Randomized data recovery testing

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Randomized data recovery testing

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Randomized data recovery testing

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Randomized data recovery testing

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.

Level 2 Planned Tracked

Business Continuity & Disaster Recovery (BCD) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with BCD domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with BCD domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with BCD domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Business Continuity / Disaster Recovery (BC/DR)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ BC/DR may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT personnel perform a random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.

Level 3 Well Defined

Business Continuity & Disaster Recovery (BCD) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with BCD domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with BCD domain capabilities are well-documented and kept current by process owners.
▪ A Business Continuity & Disaster Recovery (BC/DR) team, or similar function, is appropriately staffed and supported to implement and maintain BCD domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of BC/DR operations (e.g., BC/DR planning software, Disaster Recovery as a Service (DRaaS), Orchestration and Automation Tools).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with BCD domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing.

Level 4 Quantitatively Controlled

Business Continuity & Disaster Recovery (BCD) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.

1. Přehled

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související regulace

2. Identifikované požadavky

Požadavky

3. Související regulace

Regulace
EULAW Článek 25 Testování plánů zachování provozu IKT
-
EULAW Článek 12 Politiky a postupy zálohování, postupy a metody obnovy
-
EULAW Článek 12 2

2.   Finanční subjekty zřídí záložní systémy, které lze aktivovat v souladu s politikami a postupy zálohování, jakož i postupy a metodami obnovy provozu. Aktivace záložních systémů nesmí ohrozit bezpečnost sítí a informačních systémů ani dostupnost, hodnověrnost, integritu nebo důvěrnost údajů. Pravidelně se provádí testování postupů zálohování a postupů a metod obnovy.
EULAW Článek 12 7

7.   Při obnově provozu po incidentu souvisejícím s IKT finanční subjekty provádějí nezbytné kontroly, včetně veškerých násobných kontrol a sesouhlasení dat s cílem zajistit nejvyšší možnou úroveň integrity dat. Tyto kontroly se provádějí rovněž při obnově dat od externích zainteresovaných stran, aby byla zajištěna konzistentnost všech dat v obou systémech.

Propojené úkoly

Vazby
is related to Annual
is related to relative Control Weighting = 05
is related to Data
is related to Protect
is related to SCRM Focus Tier 2 OPERATIONAL
blocks Loss, Theft or Damage of Assets
blocks Business / Service Interruption
blocks Data Loss / Integrity Compromise
blocks Reduced Operational Productivity
blocks Contractual Default / Termination
blocks Failure to Achieve Strategic / Mission Objectives
blocks Failure to Support Business / Mission Objectives
blocks Lack of oversight of internal controls
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Unreliable Assurance / Decision Information
blocks Incident Response / Recovery Cost
blocks Recovery Failure / Unacceptable Recovery Delay
blocks Concentration / Single-Point Dependency Failure
blocks Undetected / Delayed Detection of Adverse Activity
blocks Loss of Data Integrity
blocks Loss of Data / Service Availability
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Civil or Political Unrest
blocks Malicious Cyber Activity
blocks Hazardous Materials Emergencies
blocks Nuclear, Biological and Chemical (NBC) Weapons
blocks Physical Crime
blocks Terrorism & Armed Attacks
blocks Utility Service Disruption
blocks Dysfunctional Management Practices
blocks Human Error
blocks Technical / Mechanical Failure
blocks Statutory / Regulatory / Contractual Change
blocks Data Quality Degradation / Data Poisoning
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks Infrastructure Failure / Degradation
is blocked by BCD-32.1 Test Restoration Using Sampling – Assessment Procedure
blocks CP-09(02) Test Restoration Using Sampling
blocks CP-09(02) [H] Test Restoration Using Sampling
blocks PR.DS-11 Backups of data are created, protected, maintained, and tested
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