PREDSTAVITEV SMERNICE

1. PREDSTAVITEV SMERNICE G32 Bussiness Continuity Plan (BCP) Review from IT Perspective Peter Grasselli, CISA, CISSP SLOVENSKI INŠTITUT ZA REVIZIJOLjubljana

2. Vsebina smernice • 1. Ozadje • 2. Kratek opis NNP s perspektive IT • 3. Neodvisnost • 4. Sposobnost • 5. Načrtovanje • 6. Izvedba pregleda UNP s perspektive IT • 7. Poročanje • 8. Spremljanje • 9. Veljavnost

3. OPOZORILO Guidelines provide guidance in applying IS auditing Standards. The IS auditor should consider them in determining how to achieve implementation of the standards, useprofessional judgment in their application and be prepared to justify any departure. The objective of the IS Auditing Guidelines is to provide further information on how to comply with the IS Auditing Standards. ISACA has designed this guidance as the minimum level of acceptable performance required to meet the professional responsibilities set out in the ISACA Code of Professional Ethics for IS auditors. ISACA makes no claim that use of this product will assure a successful outcome.

4. 1. Ozadje • S6 Performance of audit work • DS 4 Ensure continous service • namen • opis običajnega postopka pregleda NNP s stališča IT • identifikacija, dokumentiranje, preverjanje in ocenjevanje v organizaciji vpeljanih kontrol na področju procesa NNP (z vidika IT) • izrazoslovje

5. načrt neprekinjenega poslovanja (NNP) analiza poslovnih posledic (APP) okrevalni načrt (ON) 1.6 Izrazoslovje Business continuity plan (BCP) Business impact analysis (BIA) Disaster recovery plan (DRP) BIA OCENA TVEGANJA STRATEGIJA UNP VZDRŽEVANJE, PREVERJANJE UNP UPRAVLJANJE PROGRAMA UNP RAZVOJ IN VPELJAVA NAČRTOV UNP GRADNJA KULTURE UNP

6. 2. Kratek opis NNP s perspektive IT • nepregleden • ponavljajoč 2.1.2 BCP components include the following: • Identification—Identify potential threats and risks of the business. 2.2.1 An essential element of BCP is risk assessment, which involves the task of identifying and analysing the potential vulnerabilities and threats, including the source.

7. BIA OCENA TVEGANJA STRATEGIJA UNP VZDRŽEVANJE, PREVERJANJE UNP UPRAVLJANJE PROGRAMA UNP UPRAVLJANJEKRIZNIHSITUACIJ RAZVOJ IN VPELJAVA NAČRTOV UNP GRADNJA KULTURE UNP • Kazalci pomembnosti procesov: • proces je pomemben za življenje, zdravje ali varnost ljudi • cilj procesa je zagotavljanje zakonodajnih ali statutarnih zahtev • prekinitev procesa bi pomenila izgubo prihodka • lahko bi prišlo do izgube ugleda podjetja ali strank • Opis upravljanja neprekinjenega poslovanja: • Blanka Šauperl, Nataša Žabkar: Življenjski cikel upravljanja neprekinjenega poslovanja, Zbornik 12. Med. Konference o revidiranju in kontroli IS, 2004 • Renato Burazer, Pavle Golob: Načrt neprekinjenga poslovanja – tehnični vidik postavitve in preizkušanja, Zbornik 12. Med. Konference o …, 2004 • PAS 56: Vodnik po upravljanju neprekinjenega poslovanja • ITIL: Service delivery, IT Service Continuity Management

8. 3. Neodvisnost4. Sposobnost • Potrebno znanje in izkušnje za izvedbo pregleda področja NNP in posameznih komponent NNP • Zmožen oceniti, če je NNP usklajen s potrebami organizacije. • Razumeti poslovno okolje, cilje organizacije, zakonske zahteve, poslovne cilje, poslovne procese, informacijske potrebe teh procesov, strateško pomembnost IS in stopnjo usklajenosti IS s strategijo organizacije. procesov upravljanja neprekinjenega poslovanja

9. 5. Načrtovanje • Obseg in cilji pregleda

10. uspešnostučinkovitostrazpoložljivostskladnost zaupnostcelovitostzanesljivost

11. 5. Načrtovanje • Obseg in cilji pregleda • Upoštevati razvojno fazo NNP v organizaciji

12. 2 Repeatable but Intuitive when Responsibility for ensuring continuous service is assigned. The approaches to ensuring continuous service are fragmented. Reporting on system availability is sporadic, may be incomplete and does not take business impact into account. There is no documented IT continuity plan, although there is commitment to continuous service availability and its major principles are known. An inventory of critical systems and components exists, but it may not be reliable. Continuous service practices are emerging, but success relies on individuals. 3 Defined Process when Accountability for the management of continuous service is unambiguous. Responsibilities for continuous service planning and testing are clearly defined and assigned. The IT continuity plan is documented and based on system criticality and business impact. There is periodic reporting of continuous service testing. Individuals take the initiative for following standards and receiving training to deal with major incidents or a disaster. Management communicates consistently the need to plan for ensuring continuous service. High-availability components and system redundancy are being applied. An inventory of critical systems and components is maintained. 4 Managed and Measurable when Responsibilities and standards for continuous service are enforced. The responsibility to maintain the continuous service plan is assigned. Maintenance activities are based on the results of continuous service testing, internal good practices, and the changing IT and business environment. Structured data about continuous service are being gathered, analysed, reported and acted upon. Formal and mandatory training is provided on continuous service processes. System availability good practices, are being consistently deployed. Availability practices and continuous service planning influence each other. Discontinuity incidents are classified and the increasing escalation path for each is well known to all involved. KGIs and KPIs for continuous service have been developed and agreed upon but may be inconsistently measured. 5 Optimised when Integrated continuous service processes take into account benchmarking and best external practices. The IT continuity plan is integrated with the business continuity plans and is routinely maintained. Requirement for ensuring continuous service is secured from vendors and major suppliers. Global testing of the IT continuity plan occurs, and test results are input for updating the plan. Gathering and analysis of data are used for continuous improvement of the process. Availability practices and continuous service planning are fully aligned. Management ensures that a disaster or a major incident will not occur as a result of a single point of failure. Escalation practices are understood and thoroughly enforced. KGIs and KPIs on continuous service achievement are measured in a systematic fashion. Management adjusts the planning for continuous service in response to the KGIs and KPIs. 0 Non-existent when There is no understanding of the risks, vulnerabilities and threats to IT operations or the impact of loss of IT services to the business. Service continuity is not considered as needing management attention. 1 Initial/Ad Hoc when Responsibilities for continuous service are informal and the authority to execute responsibilities is limited. Management is becoming aware of the risks related to and the need for continuous service. The focus of management attention on continuous service is on infrastructure resources, rather than on the IT services. Users implement workarounds in response to disruptions of services. The response of IT to major disruptions is reactive and unprepared. Planned outages are scheduled to meet IT needs but do not consider business requirements. IZBOLJŠUJOČA stalno izboljševanje procesov NADZIRANA procesi se kvantitativno merijo DOLOČENA procesi so formalizirani in odobreni UNP PONOVLJIVA odvisno od posameznikov ZAČETNA

13. 6. Izvedba pregleda UNP s perspektive IT 6.1. Izvedba • pregled dokumentacije • najmanj osnovna ocenatveganj in tveganjna področjuIT

14. 6. Izvedba pregleda UNP s perspektive IT 6.1. Izvedba • pregled dokumentacije • POZOR! pomanjkljivosti NNP in izvedene spremembe • poročila o incidentih • poročila o testiranju • poročila pregledov • intervjuji z zaposlenimi in serviserji • pregled opreme

15. 6. Izvedba pregleda UNP s perspektive IT 6.1. Izvedba • pregled dokumentacije • POZOR! pomanjkljivosti NNP in izvedene spremembe • testiranje • Pregledati načrt testiranja: • točnost in popolnost NNP • oceni delo osebja • izurjenost ekip • koordinacijo med ekipami • razpoložljivost in zmogljivost rezervne lokacije • stanje in količino opreme premeščene na rezervno lokacijo • priprava na testiranje • testiranje • zaključek testiranja • poročilo o testiranju • test praviloma izvesti v času testiranja NNP

16. 6. Izvedba pregleda UNP s perspektive IT • 6.2. Vidiki pregleda • Zakaj je potrebno narediti? • Kako bomo naredili? • Kdo bo naredil? Kdo bo vzdrževal? • Kaj je potrebno narediti? • Kdaj mora biti narejeno? Kdaj je nesreče končana? • Katere politike, pravila in standarde bomo upoštevali?

17. 6.2.2 Organisational aspects should be reviewed to consider that: The BCP is consistent with the organisational overall mission, strategic goals and operating plans The BCP is routinely updated and considered current The BCP is periodically tested, reviewed and verified for continuing suitability Budget allocation is available for the BCP testing, implementation and maintenance Risk analyses are performed routinely A formal procedure is in place to regularly update the IT and telecom inventory Management and personnel of the organisation have the required skills to apply the BCP and an appropriate training programme is in place Measures to maintain an appropriate control environment (such as segregation of duties and control access to data and media) are in place in case of a contingency Enablers are identified and the individuals’ roles and responsibilities are adequately defined, published and communicated.Core teams such as: the emergency action team, damage assessment team, emergency management team,… Communication channels are fully documented and publicised within the organisation The interface and its impact between departments/divisions within the organisation is understood Roles and responsibilities of external service providers are identified, documented and communicated Coordination procedures with external service providers and customers are documented and communicated. BCP teams have been identified for various BCP tasks, clearly establishing roles and responsibilities and management reporting that defines accountability Compliance with statutory and regulatory requirements is maintained 6.2.3 Planning aspects should be reviewed to consider that: A methodology to determine activities that constitute each process is in place as part of a key business process analysis The planned IS technology architecture for the BCP is feasible and will result in safe and sound operations if a business interruption impacts key IT processes A risk assessment and BIA were performed before the BCP implementation BIA includes changes in the risks and corresponding effect on the BCP The BIA identifies the key recovery time frames of the critical business processes There is a periodic review of risks- There are appropriate incident response plans in place to manage, contain and minimise problems arising from unexpected events, including internal or external events An appropriate schedule is in place for BCP testing and maintenance An onsite test, simulation, triggering of events and their potential impacts should be performed A BCP life cycle exists and whether it is followed during development, maintenance and upgrade The BCP is reviewed at periodic intervals to confirm its continuing suitability to the organisation 6.2.4 Procedural aspects should be reviewed to consider that: Top management is a serious driving force in implementation of the BCP Top priority is provided for safety of employees, personnel and critical resources Resources and their recovery have been prioritised and communicated to the recovery teams Awareness is created across the entire organisation on the effect to the business in the event of a disaster Adequate emergency response procedures are in place and tested The people involved in the disaster assessment/recovery process are clearly identified and roles and responsibilities are delineated throughout the organisation Appropriate levels of training are conducted including mock test drills Evacuation plans are in place and are periodically tested Backup human resources are identified and available Cell, telephone or other such communication call trees are reviewed, tested and routinely updated Alternative communications strategies are identified Backup and recovery procedures are part of the BCP Backups are retrievable An appropriate backup rotation practice is in place Offsite locations (hot, warm or cold sites) are tested for availability and reliability Appropriate offsite records are maintained Confidentiality and integrity of data and information are maintained Media liaison strategies are in place, where appropriate The BCP is periodically tested and test results documented Corrective actions are initiated based upon test results There is adequate insurance protection 6. Izvedba pregleda UNP s perspektive IT • 6.2. Vidiki pregleda • Zakaj je potrebno narediti? • Kako bomo naredili? • Kdo bo naredil? Kdo bo vzdrževal? • Kaj je potrebno narediti? • Kdaj mora biti narejeno? Kdaj je nesreče končana? • Katere politike, pravila in standarde bomo upoštevali?

19. 6. Izvedba pregleda UNP s perspektive IT 6. 3 Zunanje izvajanje storitev • usklajenost NNP uporabnika/dobavitelja • kako je uporabnik storitve zagotovil, da bo storitev v skladu z njegovim NNP • ali pogodba predvideva možnost revizijskega pregleda s stranu uporabnika • ali je uporabnik primerno zaščiten v primeru prekinitev poslovanja ponudnika • ali pogodba predvideva zagotavljanje storitev v primeru nesreče • zagotavljanje celovitosti, zaupnosti in razpoložljivosti podatkov pri ponudniku • dostopne kontrole in upravljanje varnosti pri ponudniku • ponudnik poroča o incidentih in ukrepih po njih • nadzor nad mrežo, upravljanjem sprememb in testiranjem

20. 7. Poročanje • revizijskemu odboru • vodstvu • slabosti NNP: • lastniku poslovnega procesa • odgovornemu za NNP v IS • pomembne: vodstvu

21. 8. Spremljanje Posledice slabosti v NNP običajno zajemajo široko področje in predstavljajo visoko tveganje. Revizor IS naj, če je to primerno, sprotno in v zadostni meri spremlja, če je vodstvo takoj ukrepalo . Za primerno zagotovitev učinkovitosti pregleda naj revizor IS izvede ponovni pregled in preveri, če so bila priporočila izvedena in če so vpeljani popravljalni ukrepi učinkoviti.

22. 9. Smernico je potrebno upoštevati od 1.9.2005 VPRAŠANJA