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13 Apr 2021

Policy development process: phase 1

On Sunday I blogged about preparing four new 'topic-specific' information security policy templates for SecAware. Today I'm writing about the process of preparing a policy template.

First of all, the fact that I have four titles means I already have a rough idea of what the policies are going to cover (yes, there's a phase zero). 'Capacity and performance management', for instance, is one requested by a customer - and fair enough. As I said on Sunday, this is a legitimate information risk and security issue with implications for confidentiality and integrity as well as the obvious availability of information. In my professional opinion, the issue is sufficiently significant to justify senior management's concern, engagement and consideration (at least). Formulating and drafting a policy is one way to crystallise the topic in a form that can be discussed by management, hopefully leading to decisions about what the organisation should do. It's a prompt to action.

At this phase in the drafting process, I am focused on explaining things to senior management in such a way that they understand the topic area, take an interest, think about it, and accept that it is worth determining rules in this area. The most direct way I know of gaining their understanding and interest is to describe the matter 'in business terms'. Why does 'capacity and performance management' matter to the business? What are the strategic and operational implications? More specifically, what are the associated information risks? What kinds of incident involving inadequate capacity and performance can adversely affect the organization?

Answering such questions is quite tough for generic policy templates lacking the specific business context of a given organisation or industry, so we encourage customers to customise the policy materials to suit their situations. For instance:

  • An IT/cloud service company would probably emphasise the need to maintain adequate IT capacity and performance for its clients and for its own business operations, elaborating on the associated IT/cyber risks.
  • A healthcare company could mention health-related risk examples where delays in furnishing critical information to the workers who need it could jeopardise treatments and critical care.
  • A small business might point out the risks to availability of its key workers, and the business implications of losing its people (and their invaluable knowledge and experience i.e. information assets) due to illness/disease, resignation or retirement. COVID is a very topical illustration.
  • An accountancy or law firm could focus on avoiding issues caused by late or incomplete information - perhaps even discussing the delicate balance between those two aspects (e.g. there are business situations where timeliness trumps accuracy, and vice versa).

The policy templates briefly discuss general risks and fundamental principles in order to orient customers in the conceptual space, stimulating them (we hope) to think of situations or scenarios that are relevant to their organisations, their businesses or industries, and hence to their management.

'Briefly' is an important point: the discussion in this blog piece is already lengthier and more involved than would be appropriate for the background or introductory section of a typical policy template. It's easy for someone as passionate and opinionated as me to waffle-on around the policy topic area, not so easy to write succinctly and remain focused ... which makes policy development a surprisingly slow, laborious and hence costly process, given that the finished article may be only 3 or 4 pages. It's not simply a matter of wordsmithing: distilling any topic down to its essentials takes research and consideration. What must be included, and what can we afford to leave out? Which specific angles will stimulate senior managers to understand and accept the premise that 'something must be done'?

OK, that's it for today. Must press on - policy templates to write! I'll expand on the next phase of the policy development process soon - namely, how we flesh out the 'something that must be done' into explicit policy statements.

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