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

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 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

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 RAZVOJ IN VPELJAVA NAČRTOV UNP GRADNJA KULTURE UNP VZDRŽEVANJE, PREVERJANJE UNP UPRAVLJANJE PROGRAMA UNP

6 2. Kratek opis NNP s perspektive IT  nepregleden  ponavljajoč BCP components include the following:  Identification—Identify potential threats and risks of the business 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 RAZVOJ IN VPELJAVA NAČRTOV UNP GRADNJA KULTURE UNP VZDRŽEVANJE, PREVERJANJE UNP UPRAVLJANJE PROGRAMA UNP UPRAVLJANJE KRIZNIH SITUACIJ 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

8 3. Neodvisnost 4. 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 uspešnost učinkovitost razpoložljivost skladnost zaupnost celovitost zanesljivost

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

12 UNP ZAČETNA PONOVLJIVA odvisno od posameznikov odvisno od posameznikov DOLOČENA procesi so formalizirani procesi so formalizirani in odobreni in odobreni NADZIRANA procesi se procesi se kvantitativno merijo kvantitativno merijo IZBOLJŠUJOČA stalno izboljševanje stalno izboljševanje procesov procesov

13 6. Izvedba pregleda UNP s perspektive IT 6.1. Izvedba  pregled dokumentacije  najmanj osnovna ocena tveganj in tveganj na področju IT

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

16 Izvedba pregleda UNP s perspektive IT 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?

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

18 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

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