Download - Business Continuity
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Business Impact Analysis
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Stages BCP/DRP
Develop contingency planning policyConduct business impact analysis (BIA)Identify preventive controlsDevelop recovery strategiesDevelop contingency planTest the plan and train personnelMaintain the plan
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Threats
Potential Impact on Business
Vulnerabilities
AssetsRisksControls
SecurityArrangements Asset Value
Protec
t Ag
ainst
Met By
Exploit
Reduce
Indicate
Increa
se Expose
Have
Increase
Increase
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Risk Analysis
A pre-requisite to complete and meaningful DRP programIt is assessment of threats to assets Determination of protection required to safe guard the assets
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Risk Assessment Process
Identification of assetsIdentifying threats to these assets and assessing their likelihoodIdentifying vulnerabilities and assessing how easily they might be exploitedCorrelate threats to assetsRanking of risksIdentifying the protection provided by the controls in place
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Risk Management
The process of identifying, controlling and minimizing or eliminating risks that may affect information systems for acceptable cost
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Risk Management - Direction
Reducing the riskAvoiding the riskTransferring the riskAccepting the risk
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Degree of Assurance Required
It is not possible to achieve total securityThere will always be a residual riskWhat degree of residual risk is acceptable to the organization?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Risk Management
Defining an acceptable level of residual riskConstantly reviewing threats and vulnerabilitiesReviewing of existing controlsApplying additional controlsIntroducing policy and procedures
Naresh Gandhi FCA, D.I.S.A. (ICAI)
What are Assets?
An asset is something to which an organization directly assigns value and hence for which the organization requires protection
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Examples of Asset
Information data filesuser manuals etc.
Softwareapplication and system software etc.
Servicescommunicationstechnical etc.
Company image and reputation
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Examples of Asset
Documentscontractsguidelines etc
Hardwarecomputermagnetic media etc.
Peoplepersonnelcustomers etc.
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Assets
PhysicalLogical
•Data• Information•Software •Documentation
•People•Hardware•Facilities •Documentation •Supplies
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Some Assets
physical assetspersonnel assetsintellectual propertytrade secretscorporate informationfinancial informationmarket researchstrategic planning
customer listsvendor listscontact listsinformation systemsR & D informationcommunicationsmeetingsfuture directions
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Assets Valuation
Would depend onBusiness impact on loss of assetPeriod of time for which asset is unavailableValuation of the competitorValue of information rather than replacement of hardware
Naresh Gandhi FCA, D.I.S.A. (ICAI)
What is a Risk?
The potential that a given threat will exploit vulnerabilities of an asset or group of assets to cause loss or damage to assets
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Ranking of Risks
Protection of asset should be on the basis of their criticalityHow long can I continue without my assetWhat is the loss to business if asset is not thereCan I continue operations otherwise
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Outage Impact & Allowable Outage Times
R e s o u r c e O u t a g e Im p a c t A l l o w a b l eO u t a g e T im e
AuthenticationServer
User could not access Inventory System 8 hours
Database Server User could not access Inventory System 8 hours
E-mail Server User could not send e-mail 2 days5 DesktopComputers
User could not access Inventory System 8 hours
Hub User could not access Inventory System 8 hoursNetwork Cabling User could not access Inventory System 8 hoursElectric P ower User could not access Inventory System 8 hoursP rinter User could not produce Inventory Reports 4 days
Naresh Gandhi FCA, D.I.S.A. (ICAI)
System Ranking
CriticalOnly automatedLow tolerance to interruptionHigh cost of interruption
VitalLevel of tolerance is highCan be operated manually for limited periodCost of interruption is low
Naresh Gandhi FCA, D.I.S.A. (ICAI)
System Ranking
SensitiveCan performed manually for extended time periodAdditional resources required
Non CriticalCan remain inoperativeData is not restored
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Formulae for Comparing Risks
Asset Cost
A
Likelihood of Threat
OccurrenceB
Vulnerability C
Measure of Risk
D A+B+C
3
Risk Ranking
E
4 5 3 4 High 3 3 3 3 Moderate 5 5 5 5 Very High 4 1 1 2 Low
1 1 1 1 Very Low
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Threat
A declaration of the intent to inflict harm, pain or miseryPotential to cause an unwanted incident, which may result in harm to a system or organization and its assetsIntentional or accidental, man-made or an act of GodAssets are subject to many kinds of threats which exploits vulnerabilities
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Types of Threat
Man made ThreatsMan made ThreatsErrorsSabotageBombsStrikesTerrorist AttackCompetitors
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Threats
Man made Man made ThreatsThreats
Disgruntled employeesEx-employeesHackersCrackerFire
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Threats
Natural ThreatsNatural ThreatsFloodsHurricanesTornadoesEarth-quakesFireLightning
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Threats
TechnologicalDeliberate threatsAccidental threatsThreat frequency
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Threat Likelihood
Low Less likely to occur
Mediumsome history of occurrence
High Good possibility of occurrence
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Impact of Threat
Loss of moneyLoss of reputation or goodwillOpportunities missedLitigationThreat on personnelBreak-ins or HacksLost confidenceBusiness interruptionReduced efficiency
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Vulnerability
A vulnerability is a weakness/hole in an organization’s information securityA vulnerability in itself does not cause harmIt is merely a condition or set of conditions that may allow a threat to affect an assetA vulnerability if not managed, will allow a threat to materialize
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Vulnerabilities
Absence of key personnelUnstable power gridUnprotected cabling linesLack of security awarenessWrong allocation of password rights
Insufficient security trainingNo firewall installedUnlocked doorPassword same as useridPoor choice of passwordNew technology
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Controls
Controls are applied to mitigate riskbring to acceptable levelaccept the risk
Controls should be cost effective
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Control Selection
Which Control?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Control Selection
RiskDegree of assurance requiredCostEase of ImplementationServicingLegal and regulatory requirementsCustomer and other contractual requirements
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Control Selection - Cost
Budget limitationsDoes the cost of applying the control outweigh the value of the assetMay have to select Best Value range of controls
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Control - Ease of Implementation
Does environment support controlHow long will the control take to implementIs the control readily available
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Control - Servicing
Are skills available to manage controlsAre upgrades readily availableIs equipment supported by local engineers or suppliers
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Controls
The policies, practices and organizational structures designed to provide reasonable assurance that business objectives will be achieved and that undesired events will be prevented or detected and corrected
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Power Outage Mitigation
Provide one hour of uninterrupted power on all servers used internallyProvide eight hour of uninterrupted power on all web server and support hardwareReplace desktop systems with laptops where possibleAlternate power supplyDG SetUPS/voltage regulators
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Fire Damage
Automatic and manual fire alarms at strategic locationsFire extinguishers at strategic locations
Halon or CO2 or water?Automatic fire sprinkler systemControl panelsAutomatic fire proof doorsMaster switches both inside and outside IS facilityWiring in closets
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Water Damage
IS facility should not be on the ground floorWater proof ceilings, walls and floorsDrainage systemsWater alarmsDry pipe sprinkler systemCover hardware with protective fabric
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Controls of the Last Resort (Insurance)
IS equipment and facility Media reconstruction (Software)Extra expenseBusiness interruptionValuable papers and RecordsErrors and omissionsFidelity coverageMedia transportationExtra Equipment CoverageSpecialized Equipment CoverageCivil Authority
Naresh Gandhi FCA, D.I.S.A. (ICAI)
What is a contingency?
An event with a potential to disrupt computer operations, critical missions and business functionsReasons:
Power outageHardware failureFireStorms
Naresh Gandhi FCA, D.I.S.A. (ICAI)
What is a Disaster?
A contingency event which is very destructiveDisasters results from threats
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Phases of Disaster
Crisis PhaseEmergency Response PhaseRecovery PhaseRestoration Phase
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Disasters
New York WTC collapseGujrat earthquakePower Outage knocks out a data serverSprinkler system leaksChemical spills from a tanker
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
I Liberty Plaza Head Quarter of Nasdaq is across the street from WTCCIO Gregor Bailar provides an inside look at how Nasdaq got back up and running after the Sept. 11 tragedyWhat was happening at 1 Liberty?
They began evacuating after the first plane hit. Our security guards on their own accord evacuated our floor at least, so most of our people were on the ground when the second plane hit
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
Halting the market wasn't a step you Halting the market wasn't a step you could take lightlycould take lightly
"Yes, halt the market."
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
How did the command center operate?How did the command center operate?
The first thing we had to understand was our personnel situationThen we broadened the investigation to learn who was affected among our tradersThen we had to understand the situation from a physical perspective
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
How did the command center operate?How did the command center operate?
Did we lose a building? Did we lose a data center? Did we lose connectivity? What have we got in the way of physical damage that's going to take a long time to restore?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
How did the command center operate?How did the command center operate?
Next we needed to know the regulatory situation: Are people trading today? What's the landscape of the trading industry? It was literally in that order
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
Some of your traders were in trouble, but Some of your traders were in trouble, but Nasdaq's systems were all up?Nasdaq's systems were all up?
Nasdaq is highly redundantWe have servers in different buildingsEvery single one of our traders is connected to two different Nasdaq points of presence or connection centers
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
Some of your traders were in trouble, but Some of your traders were in trouble, but Nasdaq's systems were all up?Nasdaq's systems were all up?
There are four connection centers alone in downtown Manhattan20 connection centers around the United StatesEvery single server connects to two of those centers through two different paths, and often through two different vendors
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
How did you prepare for Monday?How did you prepare for Monday?
We started industrywide testing on Saturday at 7 or 8 in the morning, and by 11:30 that morning, we had achieved 98 percent of the volume. And then on Sunday we did a half-day of retesting with people who wanted to add a little more volume capability.
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
What did Nasdaq lose over the downtime What did Nasdaq lose over the downtime and what did it cost to get back up?and what did it cost to get back up? We have interruption insurance, so we hope to recover most of it, but it's in the millions, and it could crest tens of millions
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
What were the Disaster recovery lessons for What were the Disaster recovery lessons for Nasdaq?Nasdaq?
We learned that distributed systems are really good. You have to think about how your business has concentrated people or operational centers in certain places. You've got to consider if it's the wisest distribution. We feel we were lucky having some folks in Connecticut and some in Maryland. Even if we had lost some of our senior management at 1 Liberty Plaza, we would have still had a senior team
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
After living through this, what would you After living through this, what would you advise other CIOs to consider?advise other CIOs to consider?
This was a true test of people's backup strategiesDid you ever test your backup strategy?Have you worked out of your backup center?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
After living through this, what would you After living through this, what would you advise other CIOs to consider?advise other CIOs to consider?
Do you know how to get people there?Do you know the critical phone numbers?A lot of people don't have phone numbers as part of their continuity of business plan
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
After living through this, what would you After living through this, what would you advise other CIOs to consider?advise other CIOs to consider?
I think people will have to look very carefully at their backup strategies and see whether they can communicate with everybody easily, whether the phone numbers are not stored in that same
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Nasdaq Story 11 Sept, 01
After living through this, what would you After living through this, what would you advise other CIOs to consider?advise other CIOs to consider?
building that could experience the Disaster, and whether they've got hot backupsHot backups are going to be much more popular than they have been in the past
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Yellow line shows normal traffic
Naresh Gandhi FCA, D.I.S.A. (ICAI)
How did AT&T Control
141 video display screens show the status of all the networksNetwork managers put controls on the network to slow down the flow of inbound callsKeep circuits available for outbound callingAs a result, the AT&T long distance network carried a record 431 million call attempts on Sept. 11, 101 million more than the previous high-traffic day
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Business Continuity Plan
The BCP focuses on sustaining an organization’s business functions during and after a disruption
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Disaster Recovery Plan
The DRP applies to major, usually catastrophic, events that deny access to the normal facility for an extended period
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Plans
Business Recovery PlanAddresses restoration of business processes but lacks procedures
Continuity Of Operations PlanAddresses restoring H.Q. level issues at an alternate site
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Plans
Crisis Communication PlanA plan responsible for public communications
IT Contingency Plan Plan for each major application
Occupant Emergency Plan Response Procedures for Occupants
Test planIdentifies deficiency in different Plans
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Cyber Incident Response Plan
The IRP defines strategies to detect, respond to and limit consequences of malicious cyber incident
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Category of Disaster
Minor disruptionSerious disruptionMajor disruptionCatastrophic disruption
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Category of Disaster
Minor disruptionNo damage or loss
Temporary power failure or fluctuationCommunication failureUnavailability of non critical personnel
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Category of Disaster
Serious disruptionRepairable damage to equipment, office area, data, records, software
Equipment breakdownFailure of ACHuman error
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Category of Disaster
Major disruptionDestruction of equipment, office area, data
Complete loss of equipmentStructural mishapMalicious loss of data
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Category of Disaster
Catastrophic DisasterTotal loss of office area, data or people due to natural Disaster like fire, flood etc.
Complete destruction of personnel Complete destruction of facilities
Naresh Gandhi FCA, D.I.S.A. (ICAI)
What is a Disaster Recovery Plan?
A plan that provides vital pre planned A plan that provides vital pre planned frame-workframe-work
for initiating recovery operationsprovides guidance for damage assessmentplanned actions to resume critical IS and functional activitiesrestore full business operationsminimum delay and disruption
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Coping with Emergencies
Idea of DRP is to think before actual happenings:
How likely is the happeningWhat can be done on happeningWhat can be done to lessen their likelihoodWhat can be done to prepare for these events
Naresh Gandhi FCA, D.I.S.A. (ICAI)
DRP - Key Issues
How to develop the planHow to test the planHow to maintainHow to keep continuity of operations
Naresh Gandhi FCA, D.I.S.A. (ICAI)
DRP Overview
A total plan for all departments integrated togetherMust be written, tested and documentedClear assignment of responsibilities to employeesIt should address
main frame computermini computermicro computer
Naresh Gandhi FCA, D.I.S.A. (ICAI)
DRP Overview
It should address...networksautomated operationssemi automated operationsmanual operation
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Why Disaster Recovery Plan
To respond to Disasters of any typeTo curtail revenue lossTo avoid loss of critical dataTo maintain competitive edgeTo maintain employee productivity
Naresh Gandhi FCA, D.I.S.A. (ICAI)
DRP - Phases
Identifying threats and vulnerabilitiesDeveloping the contingency planConducting tasks and drillsUpdating and maintaining the plan
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Ranking of Objectives of DRP
Protection of organizations employees and publicMinimizing the financial impactLimiting extent of damageReducing physical damage
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Planning Responsibilities
Prime responsibility for developing, maintaining, executing contingency plan is with senior managementRecommended approach to planning is by teams
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
DRP PlanTop down approach
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques - DRP Plan
Top down approach - it involves Senior managementLine managementIS managementSystem auditors End user
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques - DRP Plan Steps
Conduct impact analysisPlan designPlan developmentPlan ImplementationPlan testingPlan Maintenance
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Ongoing maintenance Combination of top down and bottom up approach
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Why do we require plan?Why do we require plan?Responsibility to
shareholderscustomerssuppliersemployeeslegal
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
What can go wrong in a planning What can go wrong in a planning process?process?
Technical aspectsBack-up employeesFunctional user operationsSelection of DRP team
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Application System Application System PrioritizationPrioritization
Critical application systemsPrioritize itemConduct impact analysisPrioritization to be based on importance to the organization and not to individual
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
What can go wrong in system What can go wrong in system prioritization?prioritization?Majority of the system may not be criticalMost business user claim their system qualify as critical
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Planning CommitteePlanning CommitteeResponsible for developing DRPKnowledgeable membersSpecific assignments
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Planning Committee MembersPlanning Committee MembersKnowledgeable membersProject leadersWell versed with IS requirementsFrom security, fire, operations, production control, legal, audit, users, tele-communication, network, system and application programming
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Recovery Capability AssessmentRecovery Capability AssessmentCurrent security Disaster recovery capabilitiesWeaknessesAnalysisRecommend prioritized actions
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Plan Development AlternativesPlan Development AlternativesIn-houseReady made software packageHire consultantsCombination of the above
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Plan requirement analysisHardwareSystem softwarePersonnel'sTelecommunicationsBackup data fileVendor support availabilitySecurity
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Plan requirement analysis Office equipmentLogisticsStorageFundingPurchase orders
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Planning document contentsPurpose and scopeTesting and Recovery proceduresVendors with address and tele nos.Location of contingency planProcedure for post recoveryEmergency recovery team members with responsibilityPhone list for fire, police, hardware, software, major suppliers and customers
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Techniques
Planning document contents Contact person with address at backup locationDescription and configuration of hardware and softwareBackup contractual agreementsApplication system job prioritiesLogisticsInsurance carrier phone nos.
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Contingency Planning Process - Steps
Identifying the critical functionsIdentifying the resources supporting critical functionsAnticipating potential contingencies or DisastersSelecting contingency planning strategy
Emergency responseRecoveryResumption
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Contingency Planning Process - Steps
Implementing the contingency strategyImplementationDocumentingTraining
Testing and revising the strategy
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Disaster Recovery Teams
Emergency action teamDisaster assessment teamRecovery management teamPublic Relations teamOff-site storage teamSoftware teamApplication team
Security teamCommunication teamTransportation teamFacilities teamAdministration teamOperation teamProcurement teamSalvage teamStaff Coordination team
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activating the Plan
Recognize an emergencyContact the proper authority
Specific nature of the emergencyTime of the emergencyLocation of the emergencyExtent of damage or status of the emergencyDanger or injuries to peopleCause of the emergency
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activating the Plan
Activate the planGather the response teamBrief the response teamActivate emergency command center
Communications equipmentPersonal protective equipment (First Aid Kits)Records and information needed to respondReference manuals, including maps
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activating the Plan
Activate emergency command centerEmergency communication directoryBack-up power supply, including fuelOffice supplies, including computers with internet accessAM/FM radios, cable televisionFood, water, and other personal supplies to last several daysMessage boards, overhead projectors and other presentation materials and equipment
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activation of the Plan
Maintain communication Initiate recovery activitiesAssemble a damage assessment teamGather initial damage estimates
Facility structural damageDamage to products, materials, or supplies, including records and informationDamage to vehicles or equipmentDamage to property
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activation of the Plan
Gather initial damage estimatesPersonal injuriesCosts to recover (materials and supplies)Costs to recover (repairs and maintenance)Costs to recover (labor)Loss of revenue
Compile information into a reportInitial Damage Assessment Report
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Facility Damaged:
Location:(Attach map with clearly marked location and travel route to site, If needed)
Describe Damage or Injuries:
List Work Needed to Repair Sites:
List Work that has been completed: (Attach activity report if any work has been completed)
Estimated Cost:(Develop a detailed breakdown of personnel, equipment, and materials for complete damage assessment; include estimate of any loss of revenue)
Notes/Comments:
Damage Report Completed By:
Dated:
Initial Damage Assessment Report
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activation of the Plan
Train the damage assessment teamInitiate security activities
Issuing identification badges to employees and other authorized personnelLocking doors if personnel cannot monitor the facility during an emergencyInstalling signs designating secured or restricted areaPlacing a sign-in sheet at the command center and logging time in/outCreating a list of authorized personnel and monitoring it
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Activation of the Plan
Initiate security activitiesEnsuring that personnel know who is authorized to make decisionsMaintaining supplies to board up windows quicklySecuring cash operations immediatelyAsking for police assistanceAsking a neighbor to help monitor securityNotify recovery siteNotify impacted staffFile insurance claimsPrimary site proceduresReturn to normal operationsPost recovery analysis
Activate Contingency Arrangements
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Develop Recovery Priorities
Resource Recovery PriorityAuthentication Server HighDatabase Server High5 Desktop Computers High1 Hub HighE-mail Server MediumP rinter MediumRemaining Desktop Computers (45) LowRemaining Hub (5) Low
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery AlternativeCentralized Systems
Hot SiteWarm SiteCold SiteMobile SiteMirrored SiteDuplicate Information Processing FacilityReciprocal AgreementCommercial Service Bureaux
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Hot SiteHot SiteFully configuredReady for operationsIntended for emergency operationsUse for limited time operationsMost expensive
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Warm SiteWarm SitePartially configuredWithout CPULess expensive then hot site
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Cold SiteCold SiteOnly basic environmentActivation takes several weeksLeast expensive
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Mobile SiteMobile SiteEmpty shell facilitiesTransportableAvailable on lease through vendors
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Mirrored SiteMirrored SiteFully redundantReal time information mirroringIdentical to primary siteMost expensive to maintain
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Duplicate Information Processing Duplicate Information Processing FacilitiesFacilities
Dedicated self developed recovery sitesBackup of critical applicationsSite chosen to be away from primary siteResource availability to be assuredRegular testing
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Recovery Alternatives
Reciprocal agreementsagreements between organizations with similar equipments or applicationslow costconfiguration compatibility
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Service Bureaus/ASPs
Emergency processing servicesApplication specific
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Alternate Site Selection Criteria
S it e C o s t H a r d w a r eE q u ip m e n t
T e l e C o m -m u n ic a t io n
S e t u pT im e
L o c a t io n
Cold Site Low None None Long FixedWarm Site Medium P artial P artial/Full Medium FixedHot Site Medium/High Full Full Short Fixed
Mobile Site High Dependent Dependent Dependent Not FixedMirrored Site High Full Full None Fixed
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Telecommunication Network Backup
RedundancySurplus capacity created for extra load/failure
Alternative RoutingRouting by means of alternate medium
Diverse RoutingSplit or duplicate cable sheet
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Telecommunication Network Backup
Last mile circuit protectionLocal communication loops
Long haul network diversityT1 circuits between network carriers for automatic re-routing in case of failures
Voice Recovery
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Data Recovery Plan
CriticalVitalSensitiveNon Critical
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Techniques
Full BackupIncremental BackupDifferential Backup
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Methods
Floppy DiskettesCompact DiskReplication Internet Backup
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Removable CartridgesTape DrivesNetworked DiskRemote Mirroring
Backup Methods
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Answer the following
Where will media be stored?What data should be backed up?How frequent are backups conducted?How quickly the backups are retrieved in the event of an emergency?Who is authorized to retrieve the media?How long will it take to retrieve the media?Where will the media be delivered?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Answer the following
Who will restore the data from the media?What is the tape-labeling scheme?How long will the backup media be retained?When the media are stored onsite, what environmental controls are provided to preserve the media? What types of tape readers are used at the alternate site?
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Media Library
It should containBackup of tapes, disks, master and transaction filesBackup copies of current application softwareUpto date copy of contingency planUpto date operation manuals, system and program documentation
Each facility must have backup media library
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Media Library
Should be at some distance from main facilitySubject to physical and environmental control
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Procedures
What can go wrongWhat can go wrongMay contain only magnetic or electronic record not paper recordAccess not available at all timeCritical data may not be stored
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Backup Procedures
Determining Backup PrioritiesDetermining Backup PrioritiesPostpone less urgent task Identify in advance critical functionEliminate or postpone non-urgent portion of record keeping
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Plan Testing
ScopeTime-frameTeamsObjectivesMethodology
Conduct EvaluationWeaknessesImprovementRevision
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Phases of Testing
Pre testTestPost Test
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Type of Tests
Checklist testStructured walk through testSimulation testParallel testFull interruption test
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Result Analysis
TimeAmountCountAccuracy
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Test Examples
Contact every level of call tree successfully within 1 hourRestore critical system off-site within 48 hoursEvacuate building in 15 minutesContact key vendors within 1 hourFire drills carried selectivelyCheck jockey pump pressure
Notify participants in advance
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Awareness and Training
Walkthrough SessionScenario WorkshopSimulation of a Live Test
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Maintenance
Strategy as per changing need of the businessNew applications documentedChange in critical applicationsChange in hardware or software environmentPlan maintenance methods
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BCP Maintenance
Schedule for periodic review and maintenanceReview of revisionsConducting scheduled and unscheduled tasksTraining recovery personnelMaintaining roundsUpdating personnel changes
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Record of Change
P a g e N o . C h a n g eC o m m e n t
D a t e o fC h a n g e
S ig n a t u r e
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Law And Standards
Naresh Gandhi FCA, D.I.S.A. (ICAI)
HIPAA
Documented Practices for data protection and continuity of operations for health care industry
Naresh Gandhi FCA, D.I.S.A. (ICAI)
GBL And The Expedited Funds Availability Act
Standards for safeguarding security, confidentiality of customer records
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Sarbanes-Oxley Act
An Act for protecting investors by improving reliability of corporate disclosures and internal control
Naresh Gandhi FCA, D.I.S.A. (ICAI)
GASSP
Principles supporting the Generally Accepted Accounting Principles and similar models
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Information TechnologyInfrastructure Library
A collection of best practices in IT service management
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Basel Committee On e-Banking
Principles for effective capacity, business continuity and contingency planning of e-banking systems and services
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Basel II Capital Accord
Encourage financial firms to be more proactive and forward looking in financial activities
Naresh Gandhi FCA, D.I.S.A. (ICAI)
SAS 70
Internationally recognized auditing standard for service organization
Naresh Gandhi FCA, D.I.S.A. (ICAI)
COBIT
A framework resulting in control objectives considered to be good or best practices
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Strategies For Networked Systems
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Strategies
Eliminating single points of failure Redundant Cabling and DevicesRemote AccessWireless LANs
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Strategies For Fault Tolerant Implementation
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID
A system which uses multiple hard drives to share or replicate data among the drivesA system that combines multiple hard drives into a single logical unit
Naresh Gandhi FCA, D.I.S.A. (ICAI)
BENEFITSHigher data securityFault toleranceImproved availabilityIncreased, Integrated capacityImproved performance
RAID
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Data redundancy techniquesMirroringParityStripping
RAID
Naresh Gandhi FCA, D.I.S.A. (ICAI)
MIRRORINGData in the system is written simultaneously to two hard disks instead of one
RAID
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID
MIRRORING
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID
MIRRORING
AdvantagesData redundancyFast recovery
DisadvantagesExpensive
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID
Duplexing
Data in the system is written simultaneously to two hard disks with separate controllers
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID
Disk Duplexing
Naresh Gandhi FCA, D.I.S.A. (ICAI)
STRIPINGA data element is broken into multiple pieces at bytes level or in blocks
RAID
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAIDSTRIPING
Naresh Gandhi FCA, D.I.S.A. (ICAI)
It involves the use of parity information, which is redundancy information calculated from the actual data values
RAID
PARITY
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-0Technique : stripping without parityFiles broken into stripesNo redundancyStorage efficiency: 100% if drives identicalMinimum of 2 hard disk required Fault tolerance noneCost lowest of all RAID levelsRecommended uses non critical data
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-0
This illustration shows how files of different sizes are distributed between the drives on a four-disk, 16 kiB stripe size RAID 0 array. The red file is 4 kiB in size; the blue is 20 kiB; the green is 100 kiB; and the magenta is 500 kiB.
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Functions of EDI
RAID-1Technique: mirroringExactly 2 hard disksFault tolerance very goodStorage efficiency: 50% if drives identicalCost Relatively highRecommended uses for applications requiring high fault tolerance eg.Accounting and other financial data.
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-1
Illustration of a pair of mirrored hard disks, showing how thefiles are duplicated on both drives.
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Functions of EDI
RAID-2Technique used Bit level striping with ECCHard disk requirements-10 data disks & 4 ECC disksRandom read performance: FairRandom write performance: PoorFault tolerance only fairCost very expensiveRecommended use- not used in modern systems
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-3Technique: Byte level striping with dedicated parityMinimum 3 hard disks Random read performance: GoodRandom write performance: PoorArray Capacity: Size of smallest drive*(no. of drives-1)Fault tolerance goodCost: ModerateRecommended uses: Applications working with large files that require high transfer performance
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-3
This illustration shows how files of different sizes are distributed between the drives on a four-disk, byte-striped RAID 3 array. The red file is 4 kiB in size; the blue is 20 kiB;the green is 100 kiB; and the magenta is 500 kiB,. Notice that the files are evenly spread between three drives, with the fourth containing parity information (shown in dark gray)
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-4Technique used: Block level striping with dedicated parityRandom read performance: GoodRandom write performance: FairArray Capacity: Size of smallest drive*(no. of drives-1)Minimum 3 hard disksFault tolerance goodCost: ModerateRecommended uses: Not commonly used
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-4
This illustration shows how files of different sizes are distributed betweenthe drives on a four-disk RAID 4 array using a 16 kiB stripe size. The red file is 4 kiB in size; the blue is 20 kiB; the greenis 100 kiB; and the magenta is 500 kiB, Notice that as with RAID 3, the files are evenly spread betweenthree drives, with the fourth containing parity information (shown in gray).
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-5Technique used: Block level striping with distributed parityOne of the most popular RAID levelRandom read performance: Very GoodRandom write performance: Only Fair Array Capacity: Size of smallest drive*(no. of drives-1)Minimum 3 hard disksFault tolerance goodCost: ModerateRecommended uses: ERP, Relational database applications & other business systems
RAID LEVELS
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-5
This illustration shows how files of different sizes are distributedbetween the drives on a four-disk RAID 5 array using a 16 kiB stripesize.The red file is 4 kiB in size; the blueis 20 kiB; the green is 100 kiB; and the magenta is 500 kiB,
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID LEVELS
RAID-6Technique used: Block level striping with dual distributed parityMinimum 4 hard disksRandom read performance: Very GoodRandom write performance: PoorArray Capacity: Size of smallest drive*(no. of drives-2)Fault tolerance very goodCost: HighSpecialized controllerRecommended uses: Same as RAID5 But not popular as cost high
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID-6
This illustration shows how files of different sizes are distributedbetween the drives on a four-disk RAID 6 array using a 16 kiB stripesize.The red file is 4 kiB in size; the blueis 20 kiB; the green is 100 kiB; and the magenta is 500 kiB,
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID LEVELS
RAID-7Proprietary product of Storage Computer CorporationHard disk dependsRandom read performance: Very GoodRandom write performance: Very GoodArray Capacity: DependsFault tolerance very goodCost: Very HighSpecialized controllerRecommended uses: Not popular as cost high
Naresh Gandhi FCA, D.I.S.A. (ICAI)
MULTIPLE(NESTED) RAID LEVELS
RAID-0+1 & RAID-10Technique used: Mirroring & Striping without parityMost popular of the multiple RAID LevelsMinimum 4 Hard disks Availability very good for RAID-01,excellent for RAID-10Random read performance: very goodRandom write performance: goodFault tolerance very goodCost: HighRecommended uses: Often used in place of RAID-1 or RAID-5 for higher performance
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID 0+1
Naresh Gandhi FCA, D.I.S.A. (ICAI)
RAID 10
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Strategies for Data communications
Dial upCircuit ExtensionOn demand service from the carriersDiversification of servicesMicrowave communicationsVSAT
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Strategies for Voice communications
Cellular phone backupCarrier call rerouting systemsBackup PBX systems
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Electronic vaulting
Electronic vaulting is the ability to store and retrieve backup electronically in a site remote from the primary computer centre
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Remote Journaling
Parallel processing of transactions to an alternate site
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Database shadowing
Duplicating the database sites to multiple servers
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Back up strategies
Dual RecordingDumpingLogging Input TransactionsLogging BeforeimagesLogging Afterimages
Naresh Gandhi FCA, D.I.S.A. (ICAI)
NETWORK ATTACHED STORAGE
A class of systems that provide file services to host computersDedicated storage solution that is attached to a network topology
Naresh Gandhi FCA, D.I.S.A. (ICAI)
STORAGE AREA NETWORK
A network of storage disksIt connects multiple computers to a centralized pool of disk storageFibre Channel Technology
Naresh Gandhi FCA, D.I.S.A. (ICAI)
AdvantagesCentralization of storageStorage & server resources grow independentlyData transfer directly from device to device
STORAGE AREA NETWORK
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Server Load Balancing
It consists of distributing user activity across a network so that no single server
is overloaded Enables application to operate even if one of the server is down
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Server Load Balancing
Load Balancing done by load balancersRouters & switches with application specific integrated circuits
Naresh Gandhi FCA, D.I.S.A. (ICAI)
IS Audit Technique
Role of AuditorObserverReviewerReporter
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Review of BCP
Current copy of BCPEvaluation of documented proceduresCritical application identifiedAll application reviewedSupport of critical applicationsReview of BCP personnel, vendors, hot site contents, back-up contents
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Review of BCP
Interview key membersEvaluation of emergency proceduresWritten procedures of recovery teams
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Interview personnel and reading documentsRisk analysis documentsDisaster recovery requirement documentsDisaster recovery training documentsDisaster recovery plan testing documentsDisaster recovery plan maintenance proceduresAlternative processing contracts with back-up facilitiesThird party audit reports
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Risk analysisCritical application identificationsClassification of critical dataMinimum hardware configurationExisting file backup proceduresRecord retention and rotation schedules
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Off-site storage facilitiesCommercialPrivateVerify financial background and reputationVisit the facilityAssess the storage standardsMethod of separation of mediaMode of transportation of media
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Off-site storage facilities ...Review flow of media in and outVisitors accessTerms and conditions of vendorsConfidentiality of dataPeriodic inventory of mediaOther physical and environmental controls
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Plan DocumentsNo of subscriber and capacity of computer in backup facilityFee structure of vendorOff-site media storage facilityLiability of vendors for loss or damage at off-siteName, addresses Tele Nos. of recovery team membersTransportation arrangements
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Procedure
Plan Documents …Equipments and supportsEmergency team instructions for evacuations and recoveryTele Nos. of hardware, software supply vendorsProcedures to handle bombs or arson threatsPlan testing proceduresNetwork configuration diagram and documentation
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Objectives
Adequacy of risk analysisAdequacy of off-site storage facilitiesDRP documents is complete, clear and under- standable Adequacy of management preparednessAdequacy of plan maintenance procedures
Naresh Gandhi FCA, D.I.S.A. (ICAI)
Audit Objectives
Identify problems, concernsMake cost effective recommendationsIdentify over secured and under secured activities
Naresh Gandhi FCA, D.I.S.A. (ICAI)
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