Project 3

CSIA413Project3AuditPolicyandPlansv20222.docx

CSIA 413: Cybersecurity Policy, Plans, and Programs

Project #3: IT Audit Policy and Plans

Company Background & Operating Environment

Red Clay Renovations is an internationally recognized, awarding winning firm that specializes in the renovation and rehabilitation of residential buildings and dwellings. The company specializes in updating homes using “smart home” and “Internet of Things” technologies while maintaining period correct architectural characteristics. Please refer to the company profile (for additional background information and information about the company’s operating environment.

Policy Issue & Plan of Action

The corporate board was recently briefed by the Chief Information Officer concerning the company’s IT Security Program and how this program contributes to the company’s risk management strategy. During the briefing, the CIO presented assessment reports and audit findings from IT security audits. These audits focused upon the technical infrastructure and the effectiveness and efficiency of the company’s implementation of security controls. During the discussion period, members of the corporate board asked about audits of policy compliance and assessments as to the degree that employees were (a) aware of IT security policies and (b) complying with these policies. The Chief Information Officer was tasked with providing the following items to the board before its next quarterly meeting:

(a) Issue Specific Policy requiring an annual compliance audit for IT security policies as documented in the company’s Policy System

(b) Audit Plan for assessing employee awareness of and compliance with IT security policies

a. Are employees aware of the IT security policies in the Employee Handbook?

b. Do employees know their responsibilities under those policies?

(c) Audit Plan for assessing the IT security policy system

a. Do required policies exist?

b. Have they been updated within the past year?

c. Are the policies being reviewed and approved by the appropriate oversight authorities (managers, IT governance board, etc.)?

Your Task Assignment

As a staff member supporting the CISO, you have been asked to research this issue (auditing IT security policy compliance) and then prepare an “approval draft” for a compliance policy. You must also research and draft two separate audit plans (a) employee compliance and (b) policy system audit. The audit policy should not exceed two typed pages in length so you will need to be concise in your writing and only include the most important elements for the policy. Make sure that you include a requirement for an assessment report to be provided to company management and the corporate board of directors.

· For the employee compliance assessment, you must use an interview strategy which includes 10 or more multiple choice questions that can be used to construct a web-based survey of all employees. The questions should be split between (a) awareness of key policies and (b) awareness of personal responsibilities in regards to compliance.

· For the policy system audit, you should use a documentation assessment strategy which reviews the contents of the individual policies to determine when the policy was last updated, who “owns” the policy, who reviewed the policy, and who approved the policy for implementation.

Research:

1. Review the table of contents and relevant chapters in the Certified Information Privacy Professional textbook to find information about legal and regulatory drivers.

2. Review the weekly readings including the example audit assessment report.

3. Review work completed previously in this course which provides background about the IT Policy System and specific policies for the case study company.

4. Find additional resources which discuss IT compliance audits and/or policy system audits.

Write:

1. Prepare briefing package with approval drafts of the three required documents. Place all three documents in a single MS Word (.doc or .docx) files.

2. Your briefing package must contain the following:

· Executive Summary

· “Approval Drafts” for

· Issue Specific Policy for IT Security Policy Compliance Audits

· Audit Plan for IT Security Policy Awareness & Compliance (Employee Survey)

· Audit Plan for IT Security Policies Audit (Documentation Review)

As you write your policy and audit plans, make sure that you address security issues using standard cybersecurity terminology.

3. Use a professional format for your policy documents and briefing package. Your policy documents should be consistently formatted and easy to read.

4. You must include a cover page with the assignment title, your name, and the due date. Your reference list must be on a separate page at the end of your file. These pages do not count towards the assignment’s page count.

5. Common phrases do not require citations. If there is doubt as to whether or not information requires attribution, provide a footnote with publication information or use APA format citations and references.

6. You are expected to write grammatically correct English in every assignment that you submit for grading. Do not turn in any work without (a) using spell check, (b) using grammar check, (c) verifying that your punctuation is correct and (d) reviewing your work for correct word usage and correctly structured sentences and paragraphs.

7. Consult the grading rubric for specific content and formatting requirements for this assignment.

8. Submit your briefing package in MS Word format (.docx or .doc file) for grading using your assignment folder. (Attach the file.)

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CSIA459TechTransferResearchPaperv20233.docx

CSIA 459: Evaluating Emerging Technologies

Technology Transfer Research Paper

Objective

The purpose of this Technology Transfer Research Paper is to gather and summarize authoritative information about how technologies are transitioned from the Research & Development (R&D) lab to the product development organizations which incorporate leading and emerging technologies into new products and services.

Overview

Your task is to research, analyze, and discuss the processes involved in helping technologies emerge (“transition”) from the R&D environment to product development organizations so that the technologies can be incorporated into products and services which meet the needs of the consumers, businesses, and government agencies. Your research should include technology transfer processes and initiatives along with funding sources, i.e. venture capital, government grants, etc. You should also address the technology development lifecycle and the role of funding availability at each of the lifecycle stages (See NIST GCR 02-841). Address what happens when adequate funding is not readily available and what impacts that deficiency has upon the development and transitioning of technologies from labs to products.

To begin, review the following documents and resources about technology transfer processes and initiatives. Continue your research by investigating the availability (or lack) of federal funding for innovations in the cybersecurity area.

· What is a technology? http://www.esa.int/Our_Activities/Space_Engineering_Technology/What_is_technology

· Between Invention and Innovation: An Analysis of Funding for Early-Stage Technology Development (NIST GCR 02–841) https://www.nist.gov/system/files/documents/2017/05/09/gcr02-841.pdf (you must use this exact version)

· What is technology transfer? https://www.doi.gov/techtransfer

· Technology Transfer @ DHS

· https://www.dhs.gov/science-and-technology/technology-transfer-program

· https://www.dhs.gov/sites/default/files/publications/t2c_factsheet-final.pdf

Next, research the role that private funding (venture capital) plays in providing money and resources to innovators who are developing cybersecurity technologies and products. How does the availability of venture capital impact the development of technology? How do venture capitalists influence the emergence or death of technology developments? Provide specific examples from your research.

The following information needs must be met by the deliverable for this assignment.

(a) Introduction and Overview

a. Technology Transfer Processes

b. Technology Development Life Cycle (per NIST GRC 02-841)

c. Funding Sources & Issues

(b) Explanation of the Phases of the Technology Development Life Cycle (per NIST GRC 02-841) with examples of activities in each phase

(c) Explanation of Technology Transfer Processes

a. Identify and Discuss Key Players, i.e. inventors, universities, companies, and investors

b. Examples of Technology Transfer in two or more phases of the technology lifecycle

(d) Explanation of Funding Sources & Issues

a. What role does funding play in the technology transfer process? (Encourage? Discourage? Shape decision making?)

b. Who are the key players involved in funding decisions?

c. Examples of funding sources supporting two or more phases of the technology lifecycle

(e) Summary and Conclusions

a. Why do inventors and others need to understand Technology Transfer

b. Why do inventors and others need to understand the role of funding in encouraging and/or discouraging technology R&D

Your research is to be incorporated into a 4 to 6 page written summary of the technology transfer process and associated funding issues. (Follow the outline above and review the explanations provided in the rubric.) Your report is to be submitted as an MS Word attachment to the Technology Transfer Research Paper entry in your assignments folder.

Additional Information

1. Consult the grading rubric for specific content and formatting requirements for this assignment.

2. Your 4 - 6 page research paper should be professional in appearance with consistent use of fonts, font sizes, margins, etc. You should use headings and page breaks to organize your paper.

3. Your paper should use standard terms and definitions for cybersecurity.

4. The CSIA program recommends that you follow standard APA formatting since this will give you a document that meets the “professional appearance” requirements. APA formatting guidelines and examples are found under Course Resources. An APA template file (MS Word format) has also been provided for your use. The file name is: CSIA_Paper_Template(TOC+TOF,2021).docx

5. You must include a cover page with the assignment title, your name, and the due date. Your reference list must be on a separate page at the end of your file. These pages do not count towards the assignment’s page count.

6. You are expected to write grammatically correct English in every assignment that you submit for grading. Do not turn in any work without (a) using spell check, (b) using grammar check, (c) verifying that your punctuation is correct and (d) reviewing your work for correct word usage and correctly structured sentences and paragraphs.

7. You are expected to credit your sources using in-text citations and reference list entries. Both your citations and your reference list entries must follow a consistent and professional citation style (APA, MLA, etc.).