+Artículo 24 Requisitos generales para la realización de pruebas de resiliencia operativa digital
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Artículo 24 Requisitos generales para la realización de pruebas de resiliencia operativa digital

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1. Resumen

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1.   A fin de evaluar el estado de preparación para gestionar incidentes relacionados con las TIC, o de detectar debilidades, deficiencias y carencias en materia de resiliencia operativa digital y de aplicar sin demora medidas correctoras, las entidades financieras que no sean microempresas establecerán, mantendrán y revisarán, teniendo en cuenta los criterios establecidos en el artículo 4, apartado 2, un programa de pruebas de resiliencia operativa digital sólido y completo que forme parte del marco de gestión del riesgo relacionado con las TIC a que se refiere el artículo 6.
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2.   El programa de pruebas de resiliencia operativa digital incluirá una serie de evaluaciones, pruebas, métodos, prácticas y herramientas que se aplicarán de conformidad con los artículos 25 y 26.
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3.   Al llevar a cabo el programa de pruebas de resiliencia operativa digital a que se refiere el apartado 1 del presente artículo, las entidades financieras que no sean microempresas seguirán un enfoque basado en el riesgo que tengan en cuenta los criterios establecidos en el artículo 4, apartado 2, considerando debidamente el panorama cambiante del riesgo relacionado con las TIC, todo riesgo específico al que la entidad financiera de que se trate esté o pueda estar expuesta, el carácter esencial de los activos de información y de los servicios prestados, así como cualquier otro factor que la entidad financiera considere apropiado.
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4.   Las entidades financieras que no sean microempresas garantizarán que las pruebas sean realizadas por partes independientes, ya sean internas o externas. Cuando un probador interno se encargue de realizar las pruebas, las entidades financieras dedicarán recursos suficientes y garantizarán que se evitan los conflictos de intereses durante todas las fases de constitución y ejecución de las pruebas.
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5.   Las entidades financieras que no sean microempresas establecerán procedimientos y políticas para ordenar por prioridades, clasificar y corregir todos los problemas descubiertos durante la realización de las pruebas y establecerán métodos de validación internos para asegurarse de que todas las debilidades, deficiencias o carencias sean tratadas de manera exhaustiva.
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6.   Las entidades financieras que no sean microempresas garantizarán, al menos una vez al año, que se efectúen las pruebas apropiadas de todos los sistemas y aplicaciones de TIC que sustenten funciones esenciales o importantes.

1.1 Referencias

1.2 Requisitos identificados

1.3 Estándares relacionados

2. Requisitos identificados

Requisitos

3. Estándares relacionados

Estándares
SCF Contingency Plan Testing & Exercises

Description

Mechanisms exist to conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization's readiness to execute the plan.

Possible Solutions & Considerations

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

∙ Tabletop exercises

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

∙ Tabletop exercises

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

∙ Tabletop exercises

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

∙ Tabletop exercises
∙ Simulated events

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

∙ Tabletop exercises
∙ Simulated events

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

Business Continuity & Disaster Recovery (BCD) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with BCD domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Contingency management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs and redundant power).
▪ IT and/or cybersecurity personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical Technology Assets, Applications and/or Services (TAAS) and services.

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.

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 conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization's readiness to execute the plan.

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.