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Incident Response Audit Program

Incident Response Audit Program Template for United Arab Emirates

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Key Requirements PROMPT example:

Incident Response Audit Program

"I need an Incident Response Audit Program for our UAE-based financial services company that complies with Central Bank regulations and includes specific provisions for digital payment systems, scheduled to be implemented by March 2025."

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Document background
The Incident Response Audit Program serves as a critical tool for organizations operating within the UAE to evaluate their readiness and compliance in handling security incidents. This document becomes essential in light of the UAE's comprehensive cybersecurity regulations, including Federal Decree Law No. 45 of 2021 and various sector-specific requirements. The program is designed to systematically assess an organization's incident response capabilities, team structure, documentation processes, and compliance with regulatory reporting obligations. It includes detailed audit criteria, evaluation methodologies, and compliance checkpoints that align with UAE's cybersecurity framework. The document is particularly crucial for organizations in regulated sectors, critical infrastructure, and those handling sensitive data, helping them maintain compliance while ensuring operational effectiveness in incident response.
Suggested Sections

1. 1. Purpose and Scope: Defines the objectives of the audit program and its boundaries, including the systems, processes, and locations covered

2. 2. Definitions and Terminology: Key terms used throughout the audit program, including technical terms and incident classification definitions

3. 3. Regulatory Framework: Overview of applicable UAE laws, regulations, and standards that govern incident response requirements

4. 4. Audit Methodology: Detailed approach to conducting the audit, including assessment criteria, scoring methods, and evidence collection procedures

5. 5. Incident Response Policy Review: Assessment criteria for evaluating the organization's incident response policies and procedures

6. 6. Incident Detection and Classification: Audit procedures for assessing incident detection capabilities and classification mechanisms

7. 7. Response Team Structure: Evaluation criteria for incident response team composition, roles, and responsibilities

8. 8. Communication and Escalation: Assessment of internal and external communication protocols, including regulatory reporting requirements

9. 9. Technical Response Capabilities: Evaluation of technical tools, systems, and procedures used in incident response

10. 10. Documentation and Evidence Handling: Assessment of incident documentation processes and evidence preservation procedures

11. 11. Testing and Exercise Program: Evaluation of incident response testing procedures and simulation exercises

12. 12. Post-Incident Analysis: Assessment of post-incident review processes and continuous improvement mechanisms

Optional Sections

1. Industry-Specific Requirements: Additional audit criteria for specific sectors (e.g., financial services, healthcare) - include when auditing regulated industries

2. Cloud Service Provider Assessment: Specific audit procedures for cloud-based incident response - include when organization uses cloud services

3. Cross-Border Incident Handling: Assessment of international incident response capabilities - include for organizations with international operations

4. Third-Party Integration: Evaluation of incident response coordination with third-party providers - include when significant third-party dependencies exist

5. Privacy Impact Assessment: Specific focus on personal data breach response - include for organizations processing significant personal data

Suggested Schedules

1. Schedule A: Audit Checklist: Detailed checklist of all audit points and compliance criteria

2. Schedule B: Evidence Collection Templates: Standard templates for gathering and documenting audit evidence

3. Schedule C: Regulatory Compliance Matrix: Mapping of audit criteria to UAE regulatory requirements

4. Schedule D: Interview Questionnaires: Standard questions for different stakeholder interviews

5. Schedule E: Technical Testing Procedures: Detailed procedures for technical capability assessment

6. Appendix 1: Incident Classification Guide: Detailed criteria for incident categorization and severity assessment

7. Appendix 2: Response Time Metrics: Standard metrics and KPIs for measuring response effectiveness

8. Appendix 3: Report Templates: Standard templates for audit reporting and findings documentation

9. Appendix 4: Corrective Action Plan Template: Template for documenting and tracking remediation actions

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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alex.den.21@genieai.co
Relevant legal definitions
Audit Program
Security Incident
Critical Asset
Control Effectiveness
Data Breach
Evidence
Incident Handler
Incident Response Plan
Information Asset
Information System
Personal Data
Root Cause Analysis
Security Control
Threat Actor
Vulnerability
Audit Finding
Audit Scope
Compliance
Containment
Control Objective
Corrective Action
Cybersecurity Event
Detection Method
Escalation Protocol
Impact Assessment
Incident Classification
Incident Log
Incident Owner
Investigation Process
Mitigation Measure
Nonconformity
Preventive Action
Recovery Time Objective
Remediation Plan
Response Protocol
Risk Level
Security Breach
Stakeholder
System Owner
Testing Environment
Audit Evidence
Audit Trail
Business Impact
Chain of Custody
Compensating Control
Incident Timeline
Response Team
Risk Treatment
Technical Control
Clauses
Scope and Objectives
Regulatory Compliance
Confidentiality
Audit Methodology
Documentation Requirements
Access Rights
Roles and Responsibilities
Risk Assessment
Technical Controls
Incident Classification
Response Procedures
Communication Protocols
Evidence Collection
Data Protection
Testing Requirements
Performance Metrics
Reporting Requirements
Quality Assurance
Continuous Improvement
Governance
Training and Awareness
Third Party Management
Business Continuity
Resource Allocation
Audit Timeline
Non-Compliance Handling
Change Management
Security Controls
Records Management
Escalation Procedures
Relevant Industries

Financial Services

Healthcare

Government

Critical Infrastructure

Telecommunications

Energy

Defense

Aviation

Technology

Education

Retail

Manufacturing

Professional Services

Real Estate

Transportation

Media and Entertainment

Relevant Teams

Information Security

Internal Audit

IT Operations

Risk Management

Compliance

Legal

Security Operations Center

Executive Management

Data Protection

Business Continuity

Quality Assurance

Corporate Governance

Relevant Roles

Chief Information Security Officer

Information Security Manager

IT Audit Manager

Compliance Officer

Risk Manager

Security Operations Manager

Incident Response Manager

IT Director

Chief Technology Officer

Internal Audit Director

Security Analyst

Compliance Manager

Data Protection Officer

Chief Risk Officer

Information Security Auditor

Cybersecurity Consultant

Industries
UAE Federal Decree Law No. 45 of 2021: The main Personal Data Protection Law that governs the collection, processing, and protection of personal data in the UAE. Includes requirements for breach notification and incident response.
UAE Federal Law No. 2 of 2019: Concerning the Use of Information and Communication Technology in Healthcare, which includes specific requirements for handling healthcare data breaches and security incidents.
UAE Federal Law No. 5 of 2012: The Cybercrime Law that addresses various types of cyber incidents and crimes, including hacking, unauthorized access, and system interference.
UAE Information Assurance Standards: Published by the UAE National Electronic Security Authority (NESA), these standards provide guidelines for incident response and security controls.
Central Bank of UAE Regulation: Guidelines for financial institutions regarding cyber incident reporting and response procedures (particularly relevant for financial sector audits).
DIFC Data Protection Law No. 5 of 2020: Specific to the Dubai International Financial Centre, includes requirements for data breach notification and incident response for entities operating in the DIFC.
ADGM Data Protection Regulations 2021: Applicable to Abu Dhabi Global Market entities, containing specific requirements for incident response and breach notification.
UAE Cabinet Resolution No. 21 of 2013: Concerning the Security of Government Information Systems, which includes incident response requirements for government entities.
Teams

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Incident Response Audit Program

A structured audit framework for evaluating incident response capabilities and compliance with UAE cybersecurity regulations and standards.

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