Datacenter Audit

8/18/2019 Datacenter Audit

1/5

EXAMINING DATA CENTERS

SUBMITTED BY:

Rick Kolker

The City of Phoeni

e!"#il $% rkolker&ci'(hoeni'#)'*+

Att#che, -or in the #cco"(#nyin. file/ i+ #n #*,it (ro.r#" th#t I *+e

#+ # +t#rtin. (oint for e#"inin. ,#t# center+' It i+ only #

.*i,eline #n, not inten,e, to #,,re++ #ll ,#t# center i++*e+' I

"o,ify thi+ (ro.r#" for e0ery re0ie1 th#t I (erfor" -i'e' ,e(en,in. on

+co(e2 n#t*re of ,#t# center2 etc/'

C3MPUTER CENTER

DETAI4 AUDIT STEPS

AUDIT 3B5ECTI6ES: To ,eter"ine th#t: 7 (er+onnel (roce,*re+ #n, re+(on+i8iliite+

#,,re++ e"(loyee ter"in#tion2 cro++!

f*nction#l #n, +y+te"+ tr#inin.

7 (ro.r#" ch#n.e control+ #re #,e9*#te to

en+*re th#t ch#n.e+ #re te+te, #n,

#((ro0e, 8efore 8ein. "o0e, into (ro,*ction +t#t*+

7 8#ck*( (roce,*re+ #re #,e9*#te to "ini"i)e

8*+ine++ interr*(tion #n, (rotect #.#in+t

lo++ of ,#t# in the e0ent of # ,i+#+ter2

7 (hy+ic#l +ec*rity control+ #re #,e9*#te

to (re0ent *n#*thori)e, #cce++ to co"(*ter

center #re#+

7 en0iron"ent#l control+ #re #,e9*#te to"ini"i)e h#r,1#re+oft1#re lo++e+ fro" fire or

floo,'

ADM' ADMINISTRATI6E SECTI3N

;' Co"(lete the ' Pre(#re St#te"ent of Sco(e #n, Metho,+

"e"or#n,*"

?' 38t#in co(ie+ of #ny (rior #n,or rel#te,

#*,it re(ort+

@' Doc*"ent 3(enin. Conference:

#' Notific#tion Me"o 8' Meetin. A.en,#

c' M#n#.e"ent+ Co""ent+ Meetin. Note+

' Doc*"ent Eit Conference

' Doc*"ent Clo+in. Conference

' Re0ie1 of A((lic#8le 4#1+2 R*le+2 Re.*l#tion+

F' En, of S*r0ey Ph#+e Co""it"ent 4etter

;' Co"(#ri+on of B*,.ete, Ho*r+ to Act*#l

Ho*r+


2/5

;;' Doc*"ent2 #+ nece++#ry2 #ny Note+ for *t*re A*,it+

;=' N3T USED -N3 J3RKPAPER CR3SS!REERENCE/

;>' Pre(#re # Dr#ft A*,it Re(ort ,oc*"entin.

#*,it o8+er0#tion+ #n, #ny reco""en,#tion+'

A' 3RGANIATI3NA4 STRUCTURE SYSTEM 36ER6IEJ2

D3CUMENTATI3N2 TRAINING ;' Doc*"ent or.#ni)#tion#l +tr*ct*re

#' I,entify tho+e (o+ition+ re+(on+i8le

for "#int#inin. the (ro.r#"+2 8#ckin.!*(

the +y+te" ,#t# file+2 #n, *+in. the

0#rio*+ co"(*ter center +y+te"+' If

nece++#ry2 re0ie1 the 1ritten Lo8 ,e+cri(tion+

for e#ch f*nction#l ,*ty ,e+cri8e, in the

or.#ni)#tion ch#rt'

8' Deter"ine 1hether (ro0i+ion+ #re "#,e for

8#ck*( (er+onnel in key (o+ition+

c' Deter"ine if ter"in#tion (roce,*re+ #re #,e9*#te:

-;/ The e"(loyee+ I'D' 8#,.e +ho*l, 8ecollecte, 1hen he or +he i+ ter"in#te,'

-=/ P#++1or,+ th#t the ter"in#tin. e"(loyee

1#+ (ri0y to +ho*l, 8e re"o0e, or ch#n.e,'

->/ Hi+ or her key+ +ho*l, 8e collecte, #n,or

lock+ 8e ch#n.e,'

-?/ I+ there # ter"in#tion check o*t 8riefin.

+e++ion(roce,*re

,' Deter"ine if #,e9*#te +y+te" tr#inin. #n,

+*(er0i+ion i+ (ro0i,e, to the e"(loyee+ *+in.

the +y+te"'

=' Deter"ine 1hether 0en,or +er0ice (er+onnel #re

+*(er0i+e, 1hile on +ite

>' 38t#in or ,oc*"ent #n o0er0ie1 of theInfor"#tion Sy+te"+ -Incl*,in. h#r,1#re

re+o*rce+2 +oft1#re2 +*((ort,e+i.n +t#ff2

#n, *+er+/ in the Co"(*ter Center

#' Deter"ine the o0er#ll critic#lne++ of e#ch

"#Lor +y+te" i,entifie,

8' 3n ,i#l!in line+ ,oe+ the +ec*rity +y+te"

incl*,e c#ll!8#ck fe#t*re+ or +o"e

other "e#n+ of control to en+*re #*thori)e, #cce++

?' Deter"ine if 1ritten +y+te" o(er#tion

(roce,*re+ ei+t -e+(eci#lly for +t#rt!*(2

+h*t!,o1n2 file "#inten#nce2 #n, (re0enti0e "#inten#nce/'

B' PR3GRAM CHANGE C3NTR34 MANAGEMENT ;' 38t#in co(ie+ of the (ro8le" #n, ch#n.e

control (roce,*re+' 6erify th#t

ch#n.e+ "*+t .o thro*.h thi+ (roce++

#n, #re (ro(erly #((ro0e,'

=' Deter"ine 1hether the (roce,*re+ (ro0i,e

for #n #,e9*#te +e(#r#tion of

(ro.r#" ch#n.e+ #n, (ro,*ction ,#t#


3/5

C' C3MPUTER CENTER 3PERATI3NS

;' Perfor"#nce

#' E#"ine *tili)#tion re(ort+2 ,eter"ine

the ti"e+ of (e#k re+o*rce ,e"#n,

1ithin the (roce++in. ,#y' Deter"ine

ho1 Co"(*ter Center "#n#.e"ent

re#ct+ to e9*i("ent *tili)#tion infor"#tion' 8' Deter"ine 1hether c#(#city (l#nnin.

-(roce++or2 "e"ory2 ch#nnel+2 ,i+k2

etc'/ (erfor"e,2 #re con+i+tent 1ith2

#n, inte.r#te, into +tr#te.ic lon.!r#n.e

(l#n+

c' Deter"ine 1hether (erfor"#nce "e#+*re"ent+

#re in (l#ce

,' Deter"ine 1hether +y+te" ,o1nti"e i+

recor,e, or tr#cke,'

=' Pre0ent#ti0e M#inten#nce

#' Inter0ie1 e"(loyee+ #n,or re0ie1 0en,or

"#inten#nce #.ree"ent+ to i,entify the re+(on+i8ilitie+ for

(re0enti0e "#inten#nce' Deter"ine 1hether

(re0enti0e "#inten#nce i+ (erfor"e, #+

(re+cri8e,2 e'.'2 re0ie1 (re0enti0e

"#inten#nce lo.+

D' PHYSICA4 SECURITY EN6IR3NMENTA4 C3NTR34S

N3TE: A ne.#ti0e re+(on+e to #ny of the

9*e+tion+ in +ection D E ,oe+ not

nece++#rily re(re+ent # +i.nific#nt control

1e#kne++' The en0iron"ent +ho*l, 8e

e0#l*#te, #+ # 1hole #n, #n o0er#ll ,eter"in#tion

"#,e of it+ intern#l control+' ;' Deter"ine th#t (hy+ic#l +ec*rity

(olicie+ #n, (roce,*re+ #re #,e9*#te 8y

e0#l*#tin. control+ thro*.h inter0ie1

#n, o8+er0#tion' U+e the follo1in. #*,it

+te(+9*e+tion+ #+ # .*i,eline in ,eter"inin.

#,e9*#cy'

#' A++*re th#t there #re 1ritten (roce,*re+

in effect 1hich (re0ent *n#*thori)e,

(er+on+ fro" .#inin. #cce++ to co"(*ter

f#cilitie+'

8' A++*re th#t #*thori)e, (er+onnel #re

+(ecific#lly ,efine, in o(er#tion

+t#n,#r,+ #n,or (roce,*re+' c' 38+er0e #t +e0er#l ,ifferent ti"e+

1hether only #*thori)e, (er+onnel #re in

the (roce++in. #re#'

,' Deter"ine 1hether the co"(*ter roo"

f#cilitie+ #re re+tricte, 8y the *+e of

key+2 8#,.e+ or other #*to"#te, +ec*rity ,e0ice+'

e' Doe+ the co"(*ter +ite h#0e # .ro*n, floor

loc#tion #n, (o++i8ly # +ho1c#+e


4/5

1in,o1

f' I+ co"(*ter +ite 8elo1 .ro*n, le0el

.' I+ #ir con,itionin. o*t+i,e #ir int#ke

#t .ro*n, le0el

h' I+ ,irect #cce++ into co"(*ter +ite

(o++i8le fro" the o*t+i,e or thro*.h #

(*8lic h#ll1#y i' Are key+ to c#8inet+2 e9*i("ent roo"+2

#n, 1irin. clo+et+ hel, *n,er (ro(er

c*+to,y

L' Are #ll teleco""*nic#tion line L*nction

(oint+ -1irin. #n, ro*ter clo+et+2 etc'/

+ec*re, to (re0ent t#"(erin.

k' I+ the co"(*ter center +*8Lect to

c#t#+tro(hic "i+h#(2 i'e'2 #ircr#ft colli+ion2

etc'

=' The #,e9*#cy of fire (rotection +y+te"+

+ho*l, 8e ,eter"ine, 8y *+in. the

follo1in. i++*e+ #+ # .*i,eline' #' Cle#r #n, #,e9*#te fire in+tr*ction+

+ho*l, 8e (o+te, in +tr#te.ic loc#tion+'

8' ire #l#r" (*ll 8oe+ #n, e"er.ency

(o1er +1itche+ +ho*l, 8e cle#rly 0i+i8le

#n, *no8+tr*cte,'

c' The co"(*ter roo" +ho*l, h#0e #n

#*to"#tic fire etin.*i+hin. +y+te" 1hich

+ho*l, 8e te+te, (erio,ic#lly 8y the

"#n*f#ct*rer or +er0ice re(re+ent#ti0e'

,' The fire ,etection +y+te" +ho*l, ,etect

+"oke2 ece++i0e he#t or co"8*+ti8le

f*"e+'

e' The ,etector+ +ho*l, 8e loc#te, in theceilin. #ir ,*ct+ #n, 8ene#th the

r#i+e, floorin.' Detector+ +ho*l, 8e

te+te, fre9*ently #n, (rotecte, 8y #

8#ck*( (o1er +*((ly'

f' Jhen the fire #l#r" i+ #cti0#te,2 it

+ho*l, +o*n, o*t+i,e the co"(*ter roo"

#re# #t # .*#r, +t#tion #n, # loc#l fire

+t#tion or e"er.ency control center'

D#t# Center (er+onnel +ho*l, 8e #8le

to i,entify the +o*n, of the fire #l#r"'

.' Jh#t #re the e(o+*re+ to floo,in. Jo*l,

# 8*r+t (i(e or ri+in. ri0er c#*+e

,#"#.e h' The co"(*ter roo" +ho*l, 8e ke(t

cle#n #t #ll ti"e+'

>' The en0iron"ent#l e9*i("ent #n, control+

+ho*l, 8e #,e9*#te to (rotect the

co"(*ter h#r,1#re fro" ,#"#.e' U+e the

follo1in. #re#+ #+ # .*i,eline in

,eter"inin. #,e9*#cy'


5/5

#' 6entil#tion #n, #ir con,itionin. +ho*l,

8e #,e9*#te to "#int#in #((ro(ri#te

te"(er#t*re le0el +(ecifie, 8y the "#n*f#ct*rer'

8' Recor,in. ther"o"eter+ #n, h*"i,ity

in,ic#tor+ +ho*l, 8e loc#te, +o the

re#,in.+ c#n 8e o8t#ine, e#+ily'

The+e in+tr*"ent+ +ho*l, 8e "onitore, on # ro*tine 8#+i+ 8y # tr#ine, (er+on'

c' The h#r,1#re +ho*l, #*to"#tic#lly +h*t

,o1n to (rotect it+elf fro" ,#"#.e if

*n#cce(t#8le te"(er#t*re+ re#che,'

,' The co"(*ter e9*i("ent +ho*l, 8e +*8Lect

to (erio,ic "#inten#nce2 cle#nin.

#n, in+(ection #n, # recor, ke(t of +*ch'

e' The co"(*ter roo" ceilin. +ho*l, 8e

#,e9*#tely con+tr*cte, to (re0ent 1#ter

fro" enterin. the co"(*ter roo"'

f' 30erhe#, 1#ter +te#" #n, (i(e+ +ho*l, 8e

#0oi,e,'

.' A,e9*#te ,r#in#.e +ho*l, 8e (ro0i,e,' h' In,e(en,ent #ir con,itionin. +y+te" 1ith

8#ck*( (o1er +*((ly +ho*l, 8e

in+t#lle,'

E' BACKUP

;' Deter"ine th#t +y+te" #n, ,#t# file 8#ck*(

(roce,*re+ #re #,e9*#te to "ini"i)e

reco0ery ti"e #n, or lo++ of ,#t#'

=' Deter"ine 1hether 8#ck*(+ #re "#int#ine,

off+ite'

>' I,entify the 8#ck*( (o1er +*((lie+e9*i("ent

rel#tin. to the follo1in. #re#+:

#' E"er.ency 8#ck*( li.ht+ 8' Co"(*ter +y+te"+

?' Deter"ine 1heter the 8#ck*( (o1er i+ of

#,e9*#te +i)e to (o1er #ll e9*i("ent

relyin. on it2 incl*,in. tho+e not 1ithin

the +co(e of thi+ #*,it'

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Datacenter Audit