Article 21 Digital Operational Resilience Act (DORA), General Requirements For The Performance Of Digital Operational Resilience Testing
To ensure robust preparedness for ICT-related incidents, identify weaknesses, deficiencies, or gaps in digital operational resilience, and promptly implement corrective measures, financial entities must establish, maintain, and review a sound and comprehensive digital operational resilience testing programme. This programme should be an integral part of the ICT risk management framework as outlined in Article 5, taking into consideration the entity's size, business, and risk profiles.
Components Of The Digital Operational Resilience Testing Programme
The digital operational resilience testing programme must include a variety of assessments, tests, methodologies, practices, and tools. These components are to be applied following the provisions of Articles 22 and 23, ensuring a thorough evaluation of the entity's ICT environment. The range of assessments should cover all aspects of digital operational resilience, enabling financial entities to gauge their readiness and identify areas for improvement effectively.
Risk-Based Approach To Testing
Financial entities are required to adopt a risk-based approach when conducting the digital operational resilience testing programme. This approach should consider the evolving landscape of ICT risks, specific risks that the financial entity may face, the criticality of information assets, and the services provided. Additionally, financial entities should factor in any other relevant considerations deemed appropriate. By focusing on risk, entities can ensure that their testing efforts are aligned with the most pressing threats and vulnerabilities.
Independence Of Testing
To maintain objectivity and ensure unbiased results, financial entities must ensure that tests are carried out by independent parties. These parties can be either internal or external to the organization. The independence of testers is crucial for obtaining accurate assessments of the entity's digital operational resilience and for identifying areas that require attention without internal bias.
Procedures and Policies For Issue Resolution
Financial entities should establish comprehensive procedures and policies to prioritize, classify, and remedy all issues identified during the testing process. This includes setting up internal validation methodologies to ensure that all recognized weaknesses, deficiencies, or gaps are fully addressed. By implementing structured processes for issue resolution, financial entities can enhance their digital operational resilience effectively.
Annual Testing Of Critical ICT Systems and Applications
Financial entities must test all critical ICT systems and applications at least once a year. This regular testing is crucial for maintaining a high level of digital operational resilience, as it continuously identifies and addresses potential issues. By conducting these tests annually, financial entities ensure they remain vigilant and proactive in managing ICT risks. Regular evaluations help uncover vulnerabilities and deficiencies, enabling timely corrective actions to be taken. This proactive approach is essential for mitigating risks and ensuring that the ICT systems remain robust and resilient against evolving threats. Annual testing is a key component in sustaining effective digital operational resilience.
Establishing a comprehensive digital operational resilience testing programme is essential for financial entities to manage ICT risks effectively. By following a risk-based approach, ensuring independence in testing, and implementing robust procedures for issue resolution, financial entities can enhance their preparedness for ICT-related incidents. Regular testing of critical ICT systems and applications further ensures that entities can promptly address any weaknesses, deficiencies, or gaps, thereby maintaining a strong digital operational resilience.
