+Articolul 24 Cerințe generale pentru efectuarea testării rezilienței operaționale digitale
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Articolul 24 Cerințe generale pentru efectuarea testării rezilienței operaționale digitale

1. Prezentare generală

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Articolul 24 (1)
În scopul evaluării nivelului de pregătire pentru gestionarea incidentelor legate de TIC, al identificării punctelor slabe, a deficiențelor și a lacunelor în ceea ce privește reziliența operațională digitală și al punerii în aplicare prompte a măsurilor corective, entitățile financiare, altele decât microîntreprinderile, stabilesc, mențin și revizuiesc, ținând seama de criteriile prevăzute la articolul 4 alineatul (2), un program solid și cuprinzător de testare a rezilienței operaționale digitale ca parte integrantă a cadrului de gestionare a riscurilor TIC menționat la articolul 6.
Articolul 24 (2)
Programul de testare a rezilienței operaționale digitale include o serie de evaluări, teste, metodologii, practici și instrumente care trebuie aplicate în conformitate cu articolele 25 și 26.
Articolul 24 (3)
Atunci când desfășoară programul de testare a rezilienței operaționale digitale menționat la alineatul (1) de la prezentul articol, entitățile financiare, altele decât microîntreprinderile, urmează o abordare bazată pe riscuri, ținând seama de criteriile prevăzute la articolul 4 alineatul (2) și luând în considerare în mod corespunzător evoluția peisajului riscurilor TIC, orice riscuri specifice la care entitatea financiară în cauză este sau ar putea fi expusă, caracterul critic al activelor informaționale și al serviciilor furnizate, precum și orice alt factor pe care entitatea financiară îl consideră adecvat.
Articolul 24 (4)
Entitățile financiare, altele decât microîntreprinderile, se asigură că testele sunt efectuate de părți independente, indiferent dacă sunt interne sau externe. Atunci când testele sunt efectuate de o entitate internă, entitățile financiare alocă resurse suficiente și se asigură că sunt evitate conflictele de interese pe parcursul fazelor de proiectare și execuție ale testului.
Articolul 24 (5)
Entitățile financiare, altele decât microîntreprinderile, stabilesc proceduri și politici care să prioritizeze, să clasifice și să remedieze toate chestiunile identificate pe parcursul desfășurării testelor și stabilesc metodologii de validare internă pentru a se asigura că toate punctele slabe, deficiențele sau lacunele identificate sunt abordate integral.
Articolul 24 (6)
Entitățile financiare, altele decât microîntreprinderile, se asigură că se efectuează teste adecvate cel puțin o dată pe an asupra tuturor sistemelor și aplicațiilor TIC care sprijină funcții critice sau importante.

1.1 Referințe

1.2 Cerințe identificate

1.3 Standarde asociate

2. Cerințe identificate

Cerințe

3. Standarde asociate

Standarde
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.