Homework 04

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ISEM547_ITProcedures_Lecture.pptx

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Harrisburg University ISEM 547

IT Policy Procedures

Objectives

Policy, Procedure, Guidelines, Standards

When do you need a procedure

Creating Procedures Considerations

Guides to writing procedures

What are Policies, Procedures, Guidelines & Standards ?

Policy: are principles, rules, and protocols formulated or adopted by an organization to govern its actions.

Procedures are specific instructions to be used to implement policy requirements in a specific way; they are enforceable through the policy. Procedures are action oriented, factual and instructional.

Procedures are often integral components in policies outlining the particular actions or steps to meet policy compliance requirements

Guidelines are general rules, practices, and/or instructions that can be referenced to comply with policy; they are not enforceable but recommended as best practices that should be followed

Standards: refer to something that is considered by an authority or by general consent as a basis of comparison (e.g., industry, protocols, academic, etc.)

Standards are often referenced in policies or can be used to frame a policy

Creating Procedures

When do you need a procedure?

Not everything or IT policy needs a procedure.

The number-one rule of procedure writing is to make sure there's a reason to create a procedure

Polices require specific processes or protocols are to be followed for compliance

Staff forget to take certain actions, perhaps they keep on getting things wrong

Tasks are so long and complex that people need guidance on doing things right

Serious consequences result when a process if done wrong

When a process or situation demands consistency

A written procedure is necessary only if the issue is important or if there will be a significant benefit from clarifying a process or outlining specific actions required for policy compliance.

Procedures

Creating Procedures - Considerations

Good procedure means understanding the process and the environment (things that influence or integrate with process)

Procedures documents will vary in specific features, based on the type of information that is detailed.

Effective procedure documents are those that have clear and consistent formatting so that readers know how to follow the material.

Paragraphs should begin and end without confusion so readers should not have to wonder where one step ends and another begins.

In describing steps: use strong action verbs, provide enough specificity and explanations to ensure that readers know exactly what to do

Embed relevant icons, images, graphs/charts, flow charts, or tables in the procedures to guide and facilitate understanding.

Procedures

Creating Procedures - Considerations

The writing style for a procedure document should rely on clear and concise language.

All procedural information should be accurate, and any acronyms should be clarified for instance, the "Food and Drug Administration (FDA)."

For procedure document that will be in circulation for some time, avoid using specific information that might become outdated quickly.

Technical language and jargon that will be unfamiliar to most, should be clearly defined (SaaS, DR, COTS, DDOS, MIPS, etc….).

Creating Procedures - Considerations

Effective procedure documents should be in outline format with clear headings, sub-headings, and labels (Diagrams & tables).

Those responsible for writing procedure documents are also responsible for reviewing them periodically.

If the information is not effective in helping employees, or attaining the desired outcomes; then the procedure should be revised and improved

Creating Procedures - Considerations

Writing a procedure that is accurate, brief, and readable isn't always easy. But, with a bit of knowledge and practice, you can learn effective procedure-writing skills.

Well-written procedures help improve productivity and the quality of work within your organization

Ensure that the people who need to use a procedure have not only read it, but also understand and have used it.

Validate procedure before publication

Creating Procedures

Creating Procedures – Starting Block

The key planning activities for writing effective procedures is to research and gain a keen understand the process that the procedure will document

Have a clear understanding of the purpose, scope, objectives, circumstances, and target audience of the procedure

Research and collect information (consulting with subject matter experts, observe and interview process owners and process doers)

Creating Procedures – Starting Block

Procedure document should be derived from what you have learned from the planning phase

Once the research an planning phase is complete, define the core functions being performed, associated processes and sub processes (e.g., inputs, outputs, steps, activities, logical sequencing, interdependencies, resources, location, etc.)

Integrate meaningful illustrative components such as process maps, flow-charts, outlines, examples, and value streams

Creating Procedures – Illustrations Helpful

Budget Schedule
Item	Q1	Q2	Q3	Q4	Owner
Budget Analysis	x	x	x	x	CFO, COO, VPs
Budget Request					VP & Department Heads
Income Statement	x	x	x	x	Finance & Accounting
Sales Forecast		x			Sales & Marketing
Customer Analysis		x		x	Sales & Marketing
Staffing Analysis			x		Human Resources & Department Heads

Creating Procedures – Illustrations Helpful

Business Systems Technical Specification Compliance Requirements
Item	System 1	System 2	System 3	System 4	Owner
Technical Specification A	x	x	x	x	Security
Technical Specification B	x	x	N/A	x	Infrastructure & Operations
Technical Specification C	x	N/A	x	x	Applications
Technical Specification D	N/A	x	N/A	N/A	Help Desk
Technical Specification E	N/A	x	N/A	x	Enterprise Messaging
Technical Specification F	X	N/A	x	N/A	EDC

Creating Procedures

Core Steps

Creating Procedures – Core Steps

Preparation:

Conduct research

Provide a purpose statement (why this procedure)

Provide an overview of the procedure

Identify prerequisite knowledge and skills, if any

Highlight any specific issues and other precautions

Define list of recourses, systems, equipment, supplies, or parts needed for the procedure

Creating Procedures – Core Steps

Writing Procedure

Define a logical sequence of steps and substeps

Define decisions and decision criteria

Ensure clarity and economy of words.

Write to the level of the reader's ability

Define unfamiliar terms

Include hints and helps

Add illustrations, analogies, models, charts, pictures, workflows, tables, or anything that will aid understanding of the process and steps involved

Creating Procedures – Core Steps

Validate

Walk through and/or pilot test your procedure. Obtain feedback and recommendations from the target audience during this step. Is it understandable, effective, complete? Does it produce the desired results?

Revise & Revalidate

Evaluate and incorporate the feedback and recommendations and then retest and validate. Finalize the procedure document.

Publish

Issue the procedure document and establish mechanisms to periodically review to determine accuracy and relevancy as things may change within the environment or policy.

Creating Procedures

Procedure Document Outline

Creating Procedures - Outline

Title page. This includes 1) the title of the procedure, 2) identification number, 3) date of issue and last revision, 4) the name of the agency/division/branch the SOP applies to, and 5) the owner and author(s) of procedure.

Table of Contents. This is only necessary if your procedure is quite long, allowing for ease of reference. A simple standard outline is what you'd find here.

Purpose. Define the reason and rationale for the procedure. Include applicable policies, standards, and/or regulatory requirements that may be affiliated or driving need for procedure document

Scope and applicability. describe who shall follow, and how and when it's used. Include policies, standards, regulatory requirements, roles and responsibilities, and locations.

Creating Procedures - Outline

Overview. Provide an synopsis of the procedure and processes outlined in the document

Methodology and procedures. The meat of the issue -- list all the processes and steps with necessary details, including resources, inputs, outputs, sequential procedures, decision criteria, approvals, exceptions, and relationships to business and/or IT operations.

Clarification of terminology. Identify acronyms, abbreviations, and all phrases that aren't common.

Resources. Complete list of what is needed and when, where to find systems, equipment, supplies, etc. (If required)

References. Be sure to list all cited or significant references. If you reference other SOPs, be sure to attach the necessary information in the appendix

Appendix. Section to append additional support documentation (if required)

Procedures

Typically, under what circumstances do you require a procedure?

What are the core steps in creating a procedure document?

Why is it important to validate the procedure?

Does anyone use or occasionally refer to procedures in their work environment?

Group Discussion

Assignments

Chapter 8 (IT Managers Handbook)

Homework 3: IT Policy Management

Project 2:

Part A: Create an IT Governance Matrix

Part B: Create a Governance Charter for Enterprise Security Committee

Part C: Write a Information Security Policy for Data Classifications