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📄 Contents

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  1. Management Reference Guide
  2. Table of Contents
  3. Introduction
  4. Strategic Management
  5. Establishing Goals, Objectives, and Strategies
  6. Aligning IT Goals with Corporate Business Goals
  7. Utilizing Effective Planning Techniques
  8. Developing Worthwhile Mission Statements
  9. Developing Worthwhile Vision Statements
  10. Instituting Practical Corporate Values
  11. Budgeting Considerations in an IT Environment
  12. Introduction to Conducting an Effective SWOT Analysis
  13. IT Governance and Disaster Recovery, Part One
  14. IT Governance and Disaster Recovery, Part Two
  15. Customer Management
  16. Identifying Key External Customers
  17. Identifying Key Internal Customers
  18. Negotiating with Customers and Suppliers—Part 1: An Introduction
  19. Negotiating With Customers and Suppliers—Part 2: Reaching Agreement
  20. Negotiating and Managing Realistic Customer Expectations
  21. Service Management
  22. Identifying Key Services for Business Users
  23. Service-Level Agreements That Really Work
  24. How IT Evolved into a Service Organization
  25. FAQs About Systems Management (SM)
  26. FAQs About Availability (AV)
  27. FAQs About Performance and Tuning (PT)
  28. FAQs About Service Desk (SD)
  29. FAQs About Change Management (CM)
  30. FAQs About Configuration Management (CF)
  31. FAQs About Capacity Planning (CP)
  32. FAQs About Network Management
  33. FAQs About Storage Management (SM)
  34. FAQs About Production Acceptance (PA)
  35. FAQs About Release Management (RM)
  36. FAQs About Disaster Recovery (DR)
  37. FAQs About Business Continuity (BC)
  38. FAQs About Security (SE)
  39. FAQs About Service Level Management (SL)
  40. FAQs About Financial Management (FN)
  41. FAQs About Problem Management (PM)
  42. FAQs About Facilities Management (FM)
  43. Process Management
  44. Developing Robust Processes
  45. Establishing Mutually Beneficial Process Metrics
  46. Change Management—Part 1
  47. Change Management—Part 2
  48. Change Management—Part 3
  49. Audit Reconnaissance: Releasing Resources Through the IT Audit
  50. Problem Management
  51. Problem Management–Part 2: Process Design
  52. Problem Management–Part 3: Process Implementation
  53. Business Continuity Emergency Communications Plan
  54. Capacity Planning – Part One: Why It is Seldom Done Well
  55. Capacity Planning – Part Two: Developing a Capacity Planning Process
  56. Capacity Planning — Part Three: Benefits and Helpful Tips
  57. Capacity Planning – Part Four: Hidden Upgrade Costs and
  58. Improving Business Process Management, Part 1
  59. Improving Business Process Management, Part 2
  60. 20 Major Elements of Facilities Management
  61. Major Physical Exposures Common to a Data Center
  62. Evaluating the Physical Environment
  63. Nightmare Incidents with Disaster Recovery Plans
  64. Developing a Robust Configuration Management Process
  65. Developing a Robust Configuration Management Process – Part Two
  66. Automating a Robust Infrastructure Process
  67. Improving High Availability — Part One: Definitions and Terms
  68. Improving High Availability — Part Two: Definitions and Terms
  69. Improving High Availability — Part Three: The Seven R's of High Availability
  70. Improving High Availability — Part Four: Assessing an Availability Process
  71. Methods for Brainstorming and Prioritizing Requirements
  72. Introduction to Disk Storage Management — Part One
  73. Storage Management—Part Two: Performance
  74. Storage Management—Part Three: Reliability
  75. Storage Management—Part Four: Recoverability
  76. Twelve Traits of World-Class Infrastructures — Part One
  77. Twelve Traits of World-Class Infrastructures — Part Two
  78. Meeting Today's Cooling Challenges of Data Centers
  79. Strategic Security, Part One: Assessment
  80. Strategic Security, Part Two: Development
  81. Strategic Security, Part Three: Implementation
  82. Strategic Security, Part Four: ITIL Implications
  83. Production Acceptance Part One – Definition and Benefits
  84. Production Acceptance Part Two – Initial Steps
  85. Production Acceptance Part Three – Middle Steps
  86. Production Acceptance Part Four – Ongoing Steps
  87. Case Study: Planning a Service Desk Part One – Objectives
  88. Case Study: Planning a Service Desk Part Two – SWOT
  89. Case Study: Implementing an ITIL Service Desk – Part One
  90. Case Study: Implementing a Service Desk Part Two – Tool Selection
  91. Ethics, Scandals and Legislation
  92. Outsourcing in Response to Legislation
  93. Supplier Management
  94. Identifying Key External Suppliers
  95. Identifying Key Internal Suppliers
  96. Integrating the Four Key Elements of Good Customer Service
  97. Enhancing the Customer/Supplier Matrix
  98. Voice Over IP, Part One — What VoIP Is, and Is Not
  99. Voice Over IP, Part Two — Benefits, Cost Savings and Features of VoIP
  100. Application Management
  101. Production Acceptance
  102. Distinguishing New Applications from New Versions of Existing Applications
  103. Assessing a Production Acceptance Process
  104. Effective Use of a Software Development Life Cycle
  105. The Role of Project Management in SDLC— Part 2
  106. Communication in Project Management – Part One: Barriers to Effective Communication
  107. Communication in Project Management – Part Two: Examples of Effective Communication
  108. Safeguarding Personal Information in the Workplace: A Case Study
  109. Combating the Year-end Budget Blitz—Part 1: Building a Manageable Schedule
  110. Combating the Year-end Budget Blitz—Part 2: Tracking and Reporting Availability
  111. References
  112. Developing an ITIL Feasibility Analysis
  113. Organization and Personnel Management
  114. Optimizing IT Organizational Structures
  115. Factors That Influence Restructuring Decisions
  116. Alternative Locations for the Help Desk
  117. Alternative Locations for Database Administration
  118. Alternative Locations for Network Operations
  119. Alternative Locations for Web Design
  120. Alternative Locations for Risk Management
  121. Alternative Locations for Systems Management
  122. Practical Tips To Retaining Key Personnel
  123. Benefits and Drawbacks of Using IT Consultants and Contractors
  124. Deciding Between the Use of Contractors versus Consultants
  125. Managing Employee Skill Sets and Skill Levels
  126. Assessing Skill Levels of Current Onboard Staff
  127. Recruiting Infrastructure Staff from the Outside
  128. Selecting the Most Qualified Candidate
  129. 7 Tips for Managing the Use of Mobile Devices
  130. Useful Websites for IT Managers
  131. References
  132. Automating Robust Processes
  133. Evaluating Process Documentation — Part One: Quality and Value
  134. Evaluating Process Documentation — Part Two: Benefits and Use of a Quality-Value Matrix
  135. When Should You Integrate or Segregate Service Desks?
  136. Five Instructive Ideas for Interviewing
  137. Eight Surefire Tips to Use When Being Interviewed
  138. 12 Helpful Hints To Make Meetings More Productive
  139. Eight Uncommon Tips To Improve Your Writing
  140. Ten Helpful Tips To Improve Fire Drills
  141. Sorting Out Today’s Various Training Options
  142. Business Ethics and Corporate Scandals – Part 1
  143. Business Ethics and Corporate Scandals – Part 2
  144. 12 Tips for More Effective Emails
  145. Management Communication: Back to the Basics, Part One
  146. Management Communication: Back to the Basics, Part Two
  147. Management Communication: Back to the Basics, Part Three
  148. Asset Management
  149. Managing Hardware Inventories
  150. Introduction to Hardware Inventories
  151. Processes To Manage Hardware Inventories
  152. Use of a Hardware Inventory Database
  153. References
  154. Managing Software Inventories
  155. Business Continuity Management
  156. Ten Lessons Learned from Real-Life Disasters
  157. Ten Lessons Learned From Real-Life Disasters, Part 2
  158. Differences Between Disaster Recovery and Business Continuity , Part 1
  159. Differences Between Disaster Recovery and Business Continuity , Part 2
  160. 15 Common Terms and Definitions of Business Continuity
  161. The Federal Government’s Role in Disaster Recovery
  162. The 12 Common Mistakes That Cause BIAs To Fail—Part 1
  163. The 12 Common Mistakes That Cause BIAs To Fail—Part 2
  164. The 12 Common Mistakes That Cause BIAs To Fail—Part 3
  165. The 12 Common Mistakes That Cause BIAs To Fail—Part 4
  166. Conducting an Effective Table Top Exercise (TTE) — Part 1
  167. Conducting an Effective Table Top Exercise (TTE) — Part 2
  168. Conducting an Effective Table Top Exercise (TTE) — Part 3
  169. Conducting an Effective Table Top Exercise (TTE) — Part 4
  170. The 13 Cardinal Steps for Implementing a Business Continuity Program — Part One
  171. The 13 Cardinal Steps for Implementing a Business Continuity Program — Part Two
  172. The 13 Cardinal Steps for Implementing a Business Continuity Program — Part Three
  173. The 13 Cardinal Steps for Implementing a Business Continuity Program — Part Four
  174. The Information Technology Infrastructure Library (ITIL)
  175. The Origins of ITIL
  176. The Foundation of ITIL: Service Management
  177. Five Reasons for Revising ITIL
  178. The Relationship of Service Delivery and Service Support to All of ITIL
  179. Ten Common Myths About Implementing ITIL, Part One
  180. Ten Common Myths About Implementing ITIL, Part Two
  181. Characteristics of ITIL Version 3
  182. Ten Benefits of itSMF and its IIL Pocket Guide
  183. Translating the Goals of the ITIL Service Delivery Processes
  184. Translating the Goals of the ITIL Service Support Processes
  185. Elements of ITIL Least Understood, Part One: Service Delivery Processes
  186. Case Study: Recovery Reactions to a Renegade Rodent
  187. Elements of ITIL Least Understood, Part Two: Service Support
  188. Case Studies
  189. Case Study — Preparing for Hurricane Charley
  190. Case Study — The Linux Decision
  191. Case Study — Production Acceptance at an Aerospace Firm
  192. Case Study — Production Acceptance at a Defense Contractor
  193. Case Study — Evaluating Mainframe Processes
  194. Case Study — Evaluating Recovery Sites, Part One: Quantitative Comparisons/Natural Disasters
  195. Case Study — Evaluating Recovery Sites, Part Two: Quantitative Comparisons/Man-made Disasters
  196. Case Study — Evaluating Recovery Sites, Part Three: Qualitative Comparisons
  197. Case Study — Evaluating Recovery Sites, Part Four: Take-Aways
  198. Disaster Recovery Test Case Study Part One: Planning
  199. Disaster Recovery Test Case Study Part Two: Planning and Walk-Through
  200. Disaster Recovery Test Case Study Part Three: Execution
  201. Disaster Recovery Test Case Study Part Four: Follow-Up
  202. Assessing the Robustness of a Vendor’s Data Center, Part One: Qualitative Measures
  203. Assessing the Robustness of a Vendor’s Data Center, Part Two: Quantitative Measures
  204. Case Study: Lessons Learned from a World-Wide Disaster Recovery Exercise, Part One: What Did the Team Do Well
  205. (d) Case Study: Lessons Learned from a World-Wide Disaster Recovery Exercise, Part Two

The first part of this two-part series on IT governance and disaster recovery described how the Sarbanes-Oxley Act placed additional accountability on Chief Information Officers on the reliability and availability of corporate financial reporting. In this second part I describe other recent legislation that extends this accountability to CIOs and other IT managers in different areas of reporting.

Legislation Within the United States

The United States congress passed the Health Insurance Portability and Accountability Act, or HIPPA, to help citizens maintain their health insurance while switching jobs, providers, or both. The Act ensures, among other things, that customers are able to switch between health insurance providers as smoothly as possible without the unavailability, total loss or loss of integrity of their medical history information. The legislation further dictates that organizations must have a contingency plan in place in order to conform to the Act. Organizations dealing with “life safety data” must provide continuous availability of such data in order to be HIPAA compliant. The contingency plan is in addition to other measures required to ensure continuous availability of critical data and to ensure the “chain of integrity” of data.

Other pieces of United States legislation that require affected organizations to have a Business Continuity Plan / Disaster Recovery Plan in place include:

  • the Gramm-Leach Bliley Act (GLBA), affecting financial institutions and their storage of personal financial data (such data must be kept secure, even in the event of disaster, of course).
  • the Federal Information Security Act (FISA), affecting all Federal computer systems.
  • the Occupational Safety and Health Administration Act (OSHA) which dictates organizations’ need to be prepared for emergencies.
  • the California Security Breach Notification Act, requiring organizations provide strong security of personal information as well as notification of breaches to security of personal information (e.g. social security numbers, drivers license, credit card info) to all those affected

Legislation Outside the United States

New laws concerning IT governance and business continuity/disaster recovery are not limited to the United States. The United Kingdom recently introduced the UK Civil Contingencies Bill. This bill requires that Government and Local Authority agencies carry out proper Business Continuity Management. It is anticipated that this will have a carry-over effect in the business community in general. The UK Civil Contingencies Bill, coupled with existing data protection legislation, tougher standards requirements and directives from various industry organizations, should prevent the need for formal legislation similar to that of the Sarbanes Oxley Act.

Industry Organizations Requiring BC/DR Plans

In addition to legislation, many organizations are required to abide by standards and directives governing aspects of their business, and these often require business continuity/disaster recovery plans. Some examples include:

  • the National Association of Security Dealers (NASD), whose rules 3510 and 3520 require that all members have a BCP in place and provide emergency contact information
  • FDA regulations (e.g. FDA 21 CFR 11) requiring backup power and backup software be in place for key systems
  • SEC regulations (e.g. SEC 17 CFR 240) requires that financial transaction histories be maintained of all electronic securities transactions, and that backup power be in place to maintain continuity
  • Basel II requires accurate maintenance of historical transaction data and continuous availability of all components of distributed financial systems involved in the Bank of International Settlements (BIS) systems. RIPA in the UK and COB in France, are precursors to this requirement in their respective countries
  • Office of Management and Budget (OMB) Circulars (e.g. A-130 Nov 2000) require Disaster Recovery Plans to be in place
  • ISO 17799 (the code of practice for IT Security Mgt) compliance requires Business Continuity and Disaster Recovery Plans to be in place
  • COBIT audits require a BCP to be in place and to be effective in order to meet compliance requirements
  • Business Continuity and Disaster Recovery plans are a key component of any ISACA audit
  • Many organizations are voluntarily adhering to ITIL (IT Infrastructure Library), a set of best practices in IT Service management. ITIL has strong guidelines on how to design and implement the business continuity process and its associated documentation.

The overall intent of these laws, regulations and standards in terms of business continuity/disaster recovery is the same in all cases. That intent is that the organization must ensure that critical data and systems are available at all times, even in the event of a crisis situation, and that there are various penalties paid by the organizations if such systems and data are not available. However, compliance is a moving target, with requirements increasing constantly, and accordingly, the business continuity/disaster recovery process must be changed in the light of changing requirements.

Methods to Ensure Compliance

Despite the plethora of different statutes, directives and standards that exist and dictate that business continuity/disaster recovery planning is required of organizations, compliance requirements are fairly uniform across all of them.

There are various compliance frameworks that can be used to assess Business Continuity Planning measures (ISO, COBIT, COSO etc.) but the key aspects are similar in each. For example, COSO requires data center operations controls and transaction management controls in order to ensure data integrity and availability within its controls activities section; ISO 1799 has a section entitled Business Continuity Management which requires testing, maintaining and reassessing a Business Continuity Plan; ISACA’s COBIT requires uninterruptible power supplies under its Manage Facilities section; and NIST requires contingency and continuity plans and management.

As a general rule, in order to test BC/DR compliance within an organization, a team of qualified, knowledgeable Auditors (Internal Auditors) should be created, who report to a different member of the Board to that reported to by the BC team. This team of Internal Auditors should test to ensure that the BC plan and process meets the following compliance requirements:

Summary

This concludes the two-part series on IT governance and disaster recovery, and on the impact recent legislation has had on IT management accountability. Part One centered on the Sarbanes-Oxley Act of 2002 and Part Two covered additional recent legislation and its impact on IT management and disaster recovery. Several reference websites are provided as sources of additional information.

References

  1. http://www.hhs.gov/ocr/hipaa/
  2. http://library.law.unc.edu/bankinglaw/glb_paper.pdf
  3. http://www.itl.nist.gov/fipspubs/geninfo.htm
  4. http://www.osha.gov/SLTC/emergencypreparedness/index.html

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