PREDSTAVITEV SMERNICE

Peter Grasselli, CISA, CISSP

SLOVENSKI INŠTITUT ZA REVIZIJOLjubljana

G32 Bussiness Continuity Plan (BCP) Review from IT Perspective

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Vsebina smernice 1. Ozadje 2. Kratek opis NNP s perspektive IT 3. Neodvisnost 4. Sposobnost 5. Načrtovanje 6. Izvedba pregleda UNP s perspektive IT6. Izvedba pregleda UNP s perspektive IT 7. Poročanje 8. Spremljanje 9. Veljavnost

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Guidelines provide guidance in applying IS auditing Standards. The IS auditor should consider them in determining how to achieve implementation of the standards, use professional 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.

OPOZORILO

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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

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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)

BIABIA

OCENA OCENA TVEGANJATVEGANJA

STRATEGIJASTRATEGIJA UNP UNP

RARAZZVOJ IN VOJ IN VPELJAVA VPELJAVA

NANAČČRTOV UNPRTOV UNP

GRADNJA GRADNJA KULTURE UNPKULTURE UNP

VZDRŽEVANJE, VZDRŽEVANJE, PREVERJANJE PREVERJANJE

UNPUNPUPRAVLJANJE UPRAVLJANJE PROGRAMA PROGRAMA

UNPUNP

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2. Kratek opis NNP s perspektive IT

nepregledenponavljajoč

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.

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BIABIA

OCENA OCENA TVEGANJATVEGANJA

STRATEGIJASTRATEGIJA UNP UNP

RARAZZVOJ IN VOJ IN VPELJAVA VPELJAVA

NANAČČRTOV UNPRTOV UNP

GRADNJA GRADNJA KULTURE UNPKULTURE UNP

VZDRŽEVANJE, VZDRŽEVANJE, PREVERJANJE PREVERJANJE

UNPUNPUPRAVLJANJE UPRAVLJANJE PROGRAMA PROGRAMA

UNPUNP

UPRAVLJANJEUPRAVLJANJEKRIZNIHKRIZNIHSITUACIJSITUACIJ

Kazalci pomembnosti procesov: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: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

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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

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5. Načrtovanje

Obseg in cilji pregleda

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uspešnostuspešnostučinkovitostučinkovitostrazpoložljivostrazpoložljivostskladnostskladnost

zaupnostcelovitostzanesljivost

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5. Načrtovanje

Obseg in cilji pregleda

Upoštevati razvojno fazo NNP v organizaciji

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UNPUNP

ZAČETNAZAČETNA

PONOVLJIVAPONOVLJIVAodvisno od odvisno od

posameznikovposameznikov

DOLOČENADOLOČENAprocesi so formaliziraniprocesi so formalizirani

in odobreniin odobreni

NADZIRANANADZIRANAprocesi se procesi se

kvantitativno merijokvantitativno merijo

IZBOLJŠUJOČAIZBOLJŠUJOČAstalno izboljševanjestalno izboljševanje

procesovprocesov

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6. Izvedba pregleda UNP s perspektive IT6. Izvedba pregleda UNP s perspektive IT

6.1. Izvedba6.1. Izvedbapregled dokumentacijepregled dokumentacije

najmanj osnovna ocenanajmanj osnovna ocenatveganj in tveganjtveganj in tveganjna področjuna področjuIT IT

IZVAJANJE PROGRAMA UNP

VODENJEPROGRAMA UNP

NAČRTI NEPREKINJENEGA POSLOVANJA

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6. Izvedba pregleda UNP s perspektive ITIzvedba pregleda UNP s perspektive IT

6.1. Izvedba6.1. Izvedbapregled dokumentacijepregled dokumentacijePOZOR! pomanjkljivosti NNP in izvedene

spremembe

•poročila o incidentih•poročila o testiranju•poročila pregledov•intervjuji z zaposlenimi in serviserji•pregled opreme

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6. Izvedba pregleda UNP s perspektive ITIzvedba pregleda UNP s perspektive IT

6.1. Izvedba6.1. Izvedbapregled dokumentacijepregled dokumentacijePOZOR! pomanjkljivosti NNP in izvedene spremembePOZOR! pomanjkljivosti NNP in izvedene spremembe testiranjetestiranje

• priprava na testiranje• testiranje• zaključek testiranja• poročilo o testiranju• test praviloma izvesti v času testiranja NNP

Pregledati načrt testiranja:Pregledati načrt testiranja:• točnost in popolnost NNPtočnost in popolnost NNP• oceni delo osebjaoceni delo osebja• izurjenost ekipizurjenost ekip• koordinacijo med ekipami koordinacijo med ekipami • razpoložljivost in razpoložljivost in zmogljivost rezervne zmogljivost rezervne lokacijelokacije• stanje in količino opreme stanje in količino opreme premeščene na rezervno premeščene na rezervno lokacijolokacijo

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6. Izvedba pregleda UNP s perspektive ITIzvedba pregleda UNP s perspektive IT

6.2. Vidiki pregleda6.2. Vidiki pregleda Zakaj je potrebno narediti?Zakaj je potrebno narediti? Kako bomo naredili?Kako bomo naredili? Kdo bo naredil? Kdo bo vzdrževal?Kdo bo naredil? Kdo bo vzdrževal? Kaj je potrebno narediti?Kaj je potrebno narediti? Kdaj mora biti narejeno? Kdaj je nesreče končana?Kdaj mora biti narejeno? Kdaj je nesreče končana? Katere politike, pravila in standarde bomo upoštevali?Katere politike, pravila in standarde bomo upoštevali?

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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

6.2. Vidiki pregleda6.2. Vidiki pregleda Zakaj je potrebno narediti?Zakaj je potrebno narediti? Kako bomo naredili?Kako bomo naredili? Kdo bo naredil? Kdo bo vzdrževal?Kdo bo naredil? Kdo bo vzdrževal? Kaj je potrebno narediti?Kaj je potrebno narediti? Kdaj mora biti narejeno? Kdaj je nesreče končana?Kdaj mora biti narejeno? Kdaj je nesreče končana? Katere politike, pravila in standarde bomo upoštevali?Katere politike, pravila in standarde bomo upoštevali?

6. Izvedba pregleda UNP s perspektive ITIzvedba pregleda UNP s perspektive IT

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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

Risk analyses are performed routinely

The interface and its impact between departments/divisions within the organisation is understood

Compliance with statutory and regulatory requirements is maintained

Resources and their recovery have been prioritised and communicated to the recovery teams

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

The BCP is consistent with the organisational overall mission, strategic goals and operating plans

Top priority is provided for safety of employees, personnel and critical resources

Alternative communications strategies are identified

There is adequate insurance protection

There are appropriate incident response plans in place to manage, contain and minimise problems arising from unexpected events, including internal or external events

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

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

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

Backup human resources are identified and available

Backup and recovery procedures are part of the BCP

Backups are retrievable

An appropriate backup rotation practice is in place

Confidentiality and integrity of data and information are maintained

Media liaison strategies are in place, where appropriate

Management and personnel of the organisation have the required skills to apply the BCP and an appropriate training programme is in place

Top management is a serious driving force in implementation of the BCP

Awareness is created across the entire organisation on the effect to the business in the event of a disaster

Appropriate levels of training are conducted including mock test drills

There is a periodic review of risks-

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

The BCP is reviewed at periodic intervals to confirm its continuing suitability to the organisation

The BCP is routinely updated and considered current

The BCP is periodically tested, reviewed and verified for continuing suitability

A formal procedure is in place to regularly update the IT and telecom inventory

Evacuation plans are in place and are periodically tested

Cell, telephone or other such communication call trees are reviewed, tested and routinely updated

Offsite locations (hot, warm or cold sites) are tested for availability and reliability

The BCP is periodically tested and test results documented

A methodology to determine activities that constitute each process is in place as part of a key business process analysis

A risk assessment and BIA were performed before the BCP implementation

A BCP life cycle exists and whether it is followed during development, maintenance and upgrade

Budget allocation is available for the BCP testing, implementation and maintenance

Appropriate offsite records are maintained

Corrective actions are initiated based upon test results

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6. Izvedba pregleda UNP s perspektive ITIzvedba pregleda UNP s perspektive IT

6. 3 Zunanje izvajanje storitev6. 3 Zunanje izvajanje storitev

• usklajenost NNP usklajenost NNP uporabnika/dobaviteljauporabnika/dobavitelja• kako je uporabnik storitve zagotovil, da kako je uporabnik storitve zagotovil, da bo storitev v skladu z njegovim NNPbo storitev v skladu z njegovim NNP

• ali pogodba predvideva možnost revizijskega pregleda s stranu uporabnikaali pogodba predvideva možnost revizijskega pregleda s stranu uporabnika• ali je uporabnik primerno zaščiten v primeru prekinitev poslovanja ponudnikaali je uporabnik primerno zaščiten v primeru prekinitev poslovanja ponudnika• ali pogodba predvideva zagotavljanje storitev v primeru nesreče ali pogodba predvideva zagotavljanje storitev v primeru nesreče • zagotavljanje celovitosti, zaupnosti in razpoložljivosti podatkov pri ponudnikuzagotavljanje celovitosti, zaupnosti in razpoložljivosti podatkov pri ponudniku• dostopne kontrole in upravljanje varnosti pri ponudnikudostopne kontrole in upravljanje varnosti pri ponudniku• ponudnik poroča o incidentih in ukrepih po njihponudnik poroča o incidentih in ukrepih po njih• nadzor nad mrežo, upravljanjem sprememb in testiranjemnadzor nad mrežo, upravljanjem sprememb in testiranjem

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7. Poročanje

revizijskemu odborurevizijskemu odboruvodstvuvodstvuslabosti NNP:slabosti NNP:

lastniku poslovnega procesalastniku poslovnega procesa odgovornemu za NNP v ISodgovornemu za NNP v IS pomembne: vodstvu

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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.

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9. Smernico je potrebno upoštevati od 1.9.2005

VPRAŠANJAVPRAŠANJA