Getting Your Hands Dirty

dirty-handsIn my last post I referred to ensuring that your risk management programme is producing the quality of output to ensure the business information it feeds into is of the highest quality; maintaining the integrity of your programme.

If there is one thing that can be done to improve the integrity of your risk assessments it is simply to get your hands dirty during them. I have had a number of conversations with people who have been on the receiving end of an assessment where the assessor simply sits at the table and asks for evidence in the form of documentation, verbal responses or even just PowerPoint presentations to confirm the effectiveness of the information security programme in question. Personally I have sat in a conference room for one or two days at a time and only left the room for a short thirty minute ‘walkabout’. Quite how the assessor felt they were getting a representative view of what we were doing was beyond me.

There are a number of problems with this hands off approach:

The ability of those being assessed to ‘play’ the assessor increases with their reluctance to physically move around the organisation. Pre-prepared evidences (the so called “audit box” as was once described to me) can be made available, the organisations SME’s can be wheeled in to ensure the right things are said at the right time and the people who never seem able to say the right thing at the right time (and every organisation has them!) can be told to work in a different building that day.

Secondly, unless the assessor is actually looking at the evidence first hand, even down to rifling through the physical pieces of paper or reviewing server logs, there is absolutely no way any kind of discrepancy will ever be found. Of course this is a sampling exercise, and of course there is no way every single piece of evidence, paper or electronic can be reviewed, but some kind of benefit can be gleaned from going though them. Quite apart form anything else it gives the clear impression that “no stone is unturned” during the assessment process. I have come up with a surprising number of findings from simply taking a few minutes to look through large piles of paper records.

Finally, and perhaps slightly more esoterically, the action of a walkabout can give a very good “feel” for a place. If the presence of the auditor brings hurried and furtive glances everywhere they go, it may give the indication of nervousness or unwillingness regarding the assessment (or of course just a healthy distrust of strangers). If there are rows of empty desks that are obviously normally in use but seem to be vacated for the day this may give the indication that special plans have been laid on for the assessment (or that the sales team are in a meeting). This last point is not so clear cut as the other two, and should only be used as an indicator of what is already coming out of your assessment, but it is a useful one nonetheless.

I have a colleague who every time he enters a “serious” meeting, he undoes his cufflinks and rolls up his cuffs a couple of times; this is his way of mentally preparing for the challenge ahead by literally rolling up his sleeves. When it comes to risk assessments that is exactly what you need to do, and then prepare yourself to get your hands dirty.

One thought on “Getting Your Hands Dirty

  1. Surabhi Chaturvedi

    I agree but only to a certain extent.. Though there is a thin line between assessments and audits, that thin line exists in the minds of the assessed. I feel its the duty and responsibility of the assessor to clear the air so to say and set those expectations right in the beginning (when the sleeves are being folded) it would benefit a great deal.

    Due to the sheer nature of work and side of the table you are sitting on – well no one likes to be assessed – that intent, approach, outcome will decide how your assessment goes.. not just the first time but to build and sustain a longer relationship that of an assessor and assesse (i cant get the spelling right) as compared to an auditor and an auditee.

    Its the approach to collect and verify those evidences, sampling or to test operating effectiveness of controls; are purely audit terms, though they very much apply to the risk assessment scenario also its the “risk based approach to an ‘audit'” that will set the two apart.


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