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DORA simplified RMF
Article 40: Testing of business continuity plans

Requirement description

1. The financial entities referred to in Article 16(1) of Regulation (EU) 2022/2554 shall test their business continuity plans referred to in Article 39 of this Regulation, including the scenarios referred to in that Article, at least once every year for the back-up and restore procedures, or upon every major change of the business continuity plan.

2. The testing of business continuity plans referred to in paragraph 1 shall demonstrate that the financial entities referred to in that paragraph are able to sustain the viability of their businesses until critical operations are re-established and identify any deficiencies in those plans.

3. The financial entities referred to in paragraph 1 shall document the results of the testing of business continuity plans and any identified deficiencies resulting from that testing shall be analysed, addressed, and reported to the management body.

How to fill the requirement

DORA simplified RMF

Article 40: Testing of business continuity plans

Task name
Priority
Status
Theme
Policy
Other requirements
Regular testing and review of continuity plans
Critical
High
Normal
Low
Fully done
Mostly done
Partly done
Not done
Risk management and leadership
Continuity management
37
requirements

Examples of other requirements this task affects

Članak 30.1.c: Kontinuitet poslovanja
NIS2 Croatia
9.10 §: Varmuuskopiointi ja jatkuvuuden hallinta
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5.2.8: IT service continuity planning
TISAX
30 § 3.3°: La continuité et la gestion des crises
NIS2 Belgium
4.1.6: Test and rehearse the plans regularly so that they are established
NSM ICT-SP
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Regular testing and review of continuity plans
1. Task description

The organization should regularly, at least annually, test and review its information security continuity plans to ensure that they are valid and effective in adverse situations.

Testing of continuity plans shall involve, as appropriate, stakeholders critical to each plan. The organisation should identify and document the necessary contacts with suppliers and partners.

In addition, the adequacy of continuity plans and associated management mechanisms should be reassessed in the event of significant changes in operations.

Identifying and testing the continuity capabilities required from ICT services
Critical
High
Normal
Low
Fully done
Mostly done
Partly done
Not done
Risk management and leadership
Continuity management
10
requirements

Examples of other requirements this task affects

5.30: ICT readiness for business continuity
ISO 27001
6.2a: Jatkuvuuden hallinta
Tietoturvasuunnitelma
Article 11: Response and recovery
DORA
Article 12: Backup policies and procedures, restoration and recovery procedures and methods
DORA
5.2.8: IT service continuity planning
TISAX
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Identifying and testing the continuity capabilities required from ICT services
1. Task description

Continuity requirements for ICT services are derived from continuity plans that are created for core processes (e.g. related to the provision of organization's products and services) and the recovery time goals included in them.

Organization must identify what recovery times and recovery points different ICT services must be able to achieve, taking into account the defined recovery goals for related processes, and ensure the ability to achieve them.

The planning must take into account in particular:

  • responsibilities are defined for preparing for, managing and responding to disruptions in ICT services
  • in particular continuity plans related to ICT services have been created, approved and are regularly tested
  • continuity plans contain information on performance requirements, recovery time requirements and recovery actions for each important ICT service, as well as recovery point requirements and restoring actions for each important ICT service
Continuous improvement of continuation plans
Critical
High
Normal
Low
Fully done
Mostly done
Partly done
Not done
Risk management and leadership
Continuity management
10
requirements

Examples of other requirements this task affects

CC7.5: Recovery from security incidents
SOC 2
Article 11: Response and recovery
DORA
RS.IM-2: Response and Recovery strategies are updated.
CyberFundamentals
RS.IM-1: Response plans incorporate lessons learned.
CyberFundamentals
RC.IM-1: Recovery plans incorporate lessons learned.
CyberFundamentals
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Continuous improvement of continuation plans
1. Task description

The organization regularly develops its continuity plans by analyzing the testing of the plans, training and their actual use in real situations.

Tasks included in the policy

Task name
Priority
Status
Theme
Policy
Other requirements
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