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Creating a compliance assessment program on a tight budget
The document provides guidance on creating a compliance assessment program on a tight budget. It outlines steps to prepare such as creating policies and socializing them, determining assessment scope and methods, developing assessment forms and reporting templates, and improving the program over time. The preparation phase involves creating policies, standards, and guidelines. Assessment involves mapping processes, using forms to evaluate adherence, and creating reports on findings. Findings are then reviewed and the program is refined through cycles.
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Creating a compliance assessment program on a tight budget
- 1. Creating a Compliance AssessmentProgram on a Tight Budget ASHLEY DEUBLE
- 2. Why Do WeNeed A Compliance Program We spend time and money creating all these policies – is the business adhering to them? Are our critical assets actually being protected as we had originally planned? Are there certain regulatory requirements that you must meet? Do we need to make the business aware of their responsibilities in regards to information security?
- 3. The Basic Roadmap Create policies, procedure, standards, controls & guidelines Socialise these with the business Create a compliance assessment in alignment with your policies/standards/controls etc. Review the adherence to the policies Create a report and present findings back to the business Deal with risks and issues (accept, remediate, insure etc.) Review and mature the process
- 4. Preparation – CreatePolicies, Procedures, Standards & Guidelines Create Policies, Standards, Procedures & Guidelines (links to generic template policies are at the end of the presentation) Talk to all parties that the policies may impact (e.g. HR, Legal etc.) Get policies approved by the Board or appropriate senior management/representative Notify the general business of the new policies and their responsibilities (possibly run some targeted sessions on business units that are more heavily impacted).
- 5. Preparation – ExamplePolicy
- 6. Preparation – Comply/Non-Comply This is a compliance assessment – we want compliant/non- compliant responses (yes or no). We want to be able to determine specific policy areas where the business has deficiencies.
- 7. Preparation – WhatAbout Partial Compliance? Partial compliance can be a sliding scale Where does someone become non-compliant? Is someone truly compliant if they are only partially compliant? Provide notes in report to say that even though the business is non- compliant, they are doing certain actions to provide some form of compliance. The work needed to get them to be compliant may be minimal. This may also reduce the level of the finding.
- 8. Preparation – ConsiderThe Maturity Level Of The Assessment Process Start with a process that your assessment team can handle Think about skill levels of staff here Either skill them up, or make the process simpler Does the process need to be completed by non security or IT staff at remote locations? Mature and grow the process as the assessment teams get used to the process (take them on a learning journey). Know what your end goal for the process is, and work towards it.
- 9. Preparation – ConsiderWho/What to Assess (Scope) Determine the scope of your assessment. Are you going to assess a facility, a business unit, a process, etc.? Do you want to assess local staff processes against what remote managers think are happening (could be very different results)? Is this a part of a larger audit body of work?
- 10. Preparation – ConsiderHow Will We Assess On-site with security staff Remote interviews conducted by security staff via phone or video conference On-site personnel performing the assessment on behalf of the security staff Self survey by the business
- 11. Assessment – CreateA Process Flow Map out the process flow Sit down and run some tabletop exercises to check for completeness Make sure you can tie into any additional process that you may need (e.g. Risk Acceptance) Consider running a pilot assessment to test suitability
- 12. Assessment – ProcessFlow Example
- 13. Assessment – TheAssessment Form Determine what elements you need so that you can assess the subject and then report on them accurately? Examples Policy question/statement Rating of importance/criticality Are they compliant? Who did you ask Notes?
- 14. Assessment – AssessmentQuestion Example Example policy statement (AUP) <Company Name> proprietary information stored on electronic and computing devices whether owned or leased by <Company Name>, the employee or a third party, remains the sole property of <Company Name>. You must ensure through legal or technical means that proprietary information is protected in accordance with the Data Protection Standard. Example Compliance question Is proprietary information protected in accordance with the "Data Protection Standard" on all electronic and computing devices (whether owned or leased by <Company>, employees or a third party)?
- 15. Assessment – TheAssessment Form (example) Use the category and policy statement number as a reference when writing your report Add any non-compliant findings to your report as an issue
- 16. Assessment – Creatingthe Report Use a similar format to other reports in your organisation Make sure to include Executive summary Issues overview Detailed issues Recommendations Document control
- 17. Assessment – Reviewingthe Report Always read the report to yourself before you send it to anyone to review (you’ll find the majority of the mistakes before anyone else) Review amongst team members (peer review) Always keep track of any changes/amendments Seek management approval prior to sending to client
- 18. Assessment – Storingthe Data/Evidence ENCRYPT! ENCRYPT! ENCRYPT! (have a password safe – just in case) Create an encryption procedure to provide to the client if you require them to send you any items of evidence. Use a file and folder naming system Keep one central “safe source” repository
- 19. Assessment – ReportingFindings Conduct a meeting with management to discuss high level findings Get their buy-in for remediation activities Conduct a meeting with technical staff to discuss detailed findings Explain the issues and provide recommendations to remediate Conduct a final close out meeting with all involved in the assessment to ensure they are aware of the issues and willing to remediate them
- 20. Improving the Program– Review Cycles/Maturing the Process How often should the process be reviewed (quarterly, yearly etc.)? What should be reviewed? Should you have an “improvement team” How do you communicate your changes? Will it require additional training? Are you moving towards your end goal?
- 21. Improving the Program– GRC Tools Excel isn’t the best tool for running a compliance program – but the majority of us will have it as a standard application on our SOE. Create your own tool (Sharepoint etc.)? Purchase a commercial tool (Archer etc.)?
- 22. Resources – Policies,Standards, Procedures & Guidelines SANS - http://www.sans.org/security-resources/policies/ InstantSecurityPolicy - https://www.instantsecuritypolicy.com Information Sheild - http://www.informationshield.com/info-security- policy.html ISO27001Security - http://www.iso27001security.com/ ISO27001templates - http://www.iso27001templates.com/ Beaker’s Policy Template - http://www.packetfilter.com/InfoSec_Policy-ISO17799.doc
- 23.
Editor's Notes
- #2 For many places the term “tight budget” means no budget .. Or a BAU activity
- #4 MAYBE REMOVE AND CHANGE TO HAVE DELIVERABLES FOR THE PRESENTATION?
- #5 Links to generic policies at the end of the presentation
- #6 Links to generic policies at the end of the presentation
- #8 Think about a lock with a 4 digit combination .. If you only have 3 digits to the combo the lock doesn’t open does it?
- #15 We want to make sure that we can tie a compliance question directly back to a policy statement
- #22 And Finally … If the program shows value then the business may be more willing to invest into it further