+Recovery Operations Criteria

Recovery Operations Criteria

Description

Mechanisms exist to define specific criteria that must be met to initiate Business Continuity / Disaster Recovery (BC/DR) plans that facilitate business continuity operations capable of meeting applicable Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Possible Solutions & Considerations

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

∙ Continuity of Operations Plan (COOP)
∙ Business Continuity Plan (BCP)
∙ Disaster Recovery Plan (DRP)
∙ Recovery Time Objectives (RTOs)
∙ Recovery Point Objectives (RPOs)

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

∙ Continuity of Operations Plan (COOP)
∙ Business Continuity Plan (BCP)
∙ Disaster Recovery Plan (DRP)
∙ Recovery Time Objectives (RTOs)
∙ Recovery Point Objectives (RPOs)

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

∙ Continuity of Operations Plan (COOP)
∙ Business Continuity Plan (BCP)
∙ Disaster Recovery Plan (DRP)
∙ Recovery Time Objectives (RTOs)
∙ Recovery Point Objectives (RPOs)

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

∙ Continuity of Operations Plan (COOP)
∙ Business Continuity Plan (BCP)
∙ Disaster Recovery Plan (DRP)
∙ Recovery Time Objectives (RTOs)
∙ Recovery Point Objectives (RPOs)

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

∙ Continuity of Operations Plan (COOP)
∙ Business Continuity Plan (BCP)
∙ Disaster Recovery Plan (DRP)
∙ Recovery Time Objectives (RTOs)
∙ Recovery Point Objectives (RPOs)

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.
▪ Recovery Time Objectives (RTOs) and/or Recovery Point Objectives (RPOs) are not formally planned for or resourced to meet.

Level 2 Planned Tracked

SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).

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 define specific criteria that must be met to initiate Business Continuity / Disaster Recover (BC/DR) plans that facilitate business continuity operations capable of meeting applicable Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

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. Yleiskatsaus

1.1 Viittaukset

1.2 Tunnistetut vaatimukset

1.3 Liittyvät säädökset

2. Tunnistetut vaatimukset

Vaatimukset

3. Liittyvät säädökset

Säädökset
EULAW 13 artikla 2

2.   Finanssiyhteisöjen on toteutettava sellainen TVT:hen liittyvien poikkeamien jälkitarkastelu sen jälkeen kun laajavaikutteinen TVT:hen liittyvä poikkeama aiheuttaa keskeytymisiä niiden ydintoiminnoissa, jossa analysoidaan keskeytymisen syyt ja määritetään tarvittavat TVT-toimien tai 11 artiklassa tarkoitettujen TVT-liiketoiminnan jatkuvuutta koskevien toimintaperiaatteiden parannukset.

Muiden kuin mikroyrityksiä olevien finanssiyhteisöjen on pyynnöstä ilmoitettava toimivaltaisille viranomaisille muutoksista, jotka on toteutettu ensimmäisessä alakohdassa tarkoitettujen TVT:hen liittyvien poikkeamien jälkiarviointien seurauksena.

Ensimmäisessä alakohdassa tarkoitettujen TVT:hen liittyvien poikkeamien jälkitarkastelussa on selvitettävä, noudatettiinko vakiintuneita menettelyjä ja olivatko toteutetut toimet tuloksellisia, muun muassa seuraavien seikkojen osalta:

a)

turvallisuusvaroituksiin reagoinnin ja TVT:hen liittyvien poikkeamien vaikutuksen ja vakavuuden määrittämisen nopeus;

b)

rikosteknisen analyysin laatu ja nopeus, jos tämä katsotaan aiheelliseksi;

c)

poikkeaman eskaloinnin tuloksellisuus finanssiyhteisössä;

d)

sisäisen ja ulkoisen viestinnän vaikuttavuus.
EULAW 13 artikla 3

3.   Kokemukset, jotka on saatu 26 ja 27 artiklan mukaisesti toteutetusta digitaalisen häiriönsietokyvyn testauksesta sekä todellisista TVT:hen liittyvistä poikkeamista, erityisesti kyberhyökkäyksistä, sekä TVT-liiketoiminnan jatkuvuutta koskevien suunnitelmien ja TVT-reagointi- ja -toipumissuunnitelmien käynnistämisen yhteydessä kohdatut haasteet ja vastapuolten kanssa vaihdetut ja valvontatarkastusten yhteydessä arvioidut tiedot on asianmukaisesti ja jatkuvasti sisällytettävä TVT-riskinarviointiprosessiin. Kyseisten havaintojen perusteella on tehtävä asianmukaiset tarkastukset 6 artiklan 1 kohdassa tarkoitetun TVT-riskinhallintajärjestelmän asianomaisiin komponentteihin.
EULAW 24 artikla TVT-liiketoiminnan jatkuvuutta koskevien toimintaperiaatteiden osatekijät
-
EULAW 26 artikla TVT-reagointi- ja palautumissuunnitelmat
-
EULAW 26 artikla TVT-reagointi- ja palautumissuunnitelmat
-
EULAW 39 artikla TVT-liiketoiminnan jatkuvuutta koskevan suunnitelman osatekijät
-

Linkitetyt tehtävät

Linkit
is related to Annual
is related to relative Control Weighting = 09
is related to Process
is related to Detect
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks Unauthorized Retention / Inability to Dispose of Data
blocks Business / Service Interruption
blocks Reduced Operational Productivity
blocks Revenue Loss
blocks Contractual Default / Termination
blocks Loss of Competitive Advantage
blocks Reputational Harm / Loss of Stakeholder Trust
blocks Regulatory / Legal / Contractual Financial Liability
blocks Exposure from Unaddressed Vulnerabilities
blocks System / Service Compromise
blocks Failure to Support Business / Mission Objectives
blocks Unaddressed Security / Compliance Exposure
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Uncontrolled Third-Party Security / Privacy Exposure
blocks Loss of Investigative / Evidentiary Capability
blocks Delayed Containment / Increased Incident Impact
blocks Incident Persistence / Recurrence
blocks Incident Response / Recovery Cost
blocks Undetected / Delayed Detection of Adverse Activity
is related to relative Control Weighting = 06
is related to Govern
blocks Data Loss / Integrity Compromise
blocks Failure to Achieve Strategic / Mission Objectives
blocks Unperformed / Unowned Control Responsibilities
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Recovery Failure / Unacceptable Recovery Delay
blocks Concentration / Single-Point Dependency Failure
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 Malicious Cyber Activity
blocks Physical Crime
blocks Dysfunctional Management Practices
blocks Human Error
blocks Technical / Mechanical Failure
blocks Data Quality Degradation / Data Poisoning
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks BCM-01.02B
blocks BCM-01.03B
blocks BCM-01.04B
blocks BCM-03.01B
is blocked by BCD-05 Recovery Operations Criteria – Assessment Procedure
blocks RS.MA-05 The criteria for initiating incident recovery are applied
blocks RC.RP-01 The recovery portion of the incident response plan is executed once initiated from the incident response process
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