General requirements for the performance of digital operational resilience testing
Resumen en lenguaje claro
Este art?culo fija los requisitos generales para las pruebas de resiliencia operativa digital. Obliga a las entidades financieras a probar de forma proporcional sus capacidades TIC, controles, procesos y respuesta ante escenarios adversos.
Texto oficial (EN)
1. For the purpose of assessing preparedness for handling ICT-related incidents, of identifying weaknesses, deficiencies and gaps in digital operational resilience, and of promptly implementing corrective measures, financial entities, other than microenterprises, shall, taking into account the criteria set out in Article 4(2), establish, maintain and review a sound and comprehensive digital operational resilience testing programme as an integral part of the ICT risk-management framework referred to in Article 6.
2. The digital operational resilience testing programme shall include a range of assessments, tests, methodologies, practices and tools to be applied in accordance with Articles 25 and 26.
3. When conducting the digital operational resilience testing programme referred to in paragraph 1 of this Article, financial entities, other than microenterprises, shall follow a risk-based approach taking into account the criteria set out in Article 4(2) duly considering the evolving landscape of ICT risk, any specific risks to which the financial entity concerned is or might be exposed, the criticality of information assets and of services provided, as well as any other factor the financial entity deems appropriate.
4. Financial entities, other than microenterprises, shall ensure that tests are undertaken by independent parties, whether internal or external. Where tests are undertaken by an internal tester, financial entities shall dedicate sufficient resources and ensure that conflicts of interest are avoided throughout the design and execution phases of the test.
5. Financial entities, other than microenterprises, shall establish procedures and policies to prioritise, classify and remedy all issues revealed throughout the performance of the tests and shall establish internal validation methodologies to ascertain that all identified weaknesses, deficiencies or gaps are fully addressed.
6. Financial entities, other than microenterprises, shall ensure, at least yearly, that appropriate tests are conducted on all ICT systems and applications supporting critical or important functions.
Texto del articulo (traduccion ES)
Las entidades financieras realizarán, con sujeción a un enfoque basado en el riesgo, un programa de pruebas de resiliencia operativa digital como parte integrante del marco de gestión del riesgo de las TIC. Las entidades deberán probar todos los sistemas y aplicaciones de TIC que sustenten funciones críticas o importantes al menos una vez al año. Las pruebas incluirán: (a) evaluaciones y exploraciones de vulnerabilidades; (b) análisis de código abierto; (c) evaluaciones de seguridad de la red; (d) análisis de brechas; (e) revisiones de seguridad física; (f) cuestionarios y soluciones de análisis de software; (g) exámenes del código fuente cuando resulte factible.