Audit Logging Policy Template for England and Wales

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Key Requirements PROMPT example:

Audit Logging Policy

"I need an Audit Logging Policy for our financial services company that meets FCA requirements and includes specific provisions for cloud-based log storage, as we're migrating our systems to AWS in January 2025."

Document background
The Audit Logging Policy serves as a critical component of an organization's information security and compliance framework. This document is essential when organizations need to establish systematic monitoring of system activities, ensure regulatory compliance, and maintain security controls. The policy defines requirements for log creation, storage, protection, and review processes, aligned with UK GDPR, Data Protection Act 2018, and other relevant legislation in England and Wales. Organizations implement this policy to demonstrate compliance, support incident investigations, and maintain evidence of system activities.
Suggested Sections

1. Purpose and Scope: Defines the objectives and scope of the audit logging policy

2. Roles and Responsibilities: Outlines who is responsible for implementing and maintaining audit logs

3. Audit Log Requirements: Specifies what must be logged and retention periods

4. Log Security and Access Controls: Details how logs are protected and who can access them

5. Review and Monitoring Procedures: Describes how logs are reviewed and monitored

6. Compliance Requirements: Lists regulatory requirements and compliance standards

Optional Sections

1. Industry-Specific Requirements: Additional requirements for specific industries (e.g., financial services, healthcare)

2. Cloud Service Provider Requirements: Specific requirements for cloud-based logging

3. International Data Transfer: Requirements for cross-border log data transfer

Suggested Schedules

1. Log Retention Schedule: Detailed retention periods for different types of logs

2. Audit Log Fields: Detailed list of required fields for different types of logs

3. Incident Response Procedures: Procedures for handling log-related security incidents

4. Technical Configuration Guide: Technical specifications for log collection and storage

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

Industries

UK GDPR and Data Protection Act 2018: Primary data protection legislation in the UK that governs how personal data must be handled, including when such data appears in audit logs. Organizations must ensure audit logging practices comply with data protection principles.

Network and Information Systems Regulations 2018: Regulations that apply to operators of essential services and digital service providers, requiring appropriate security measures including audit logging capabilities.

Privacy and Electronic Communications Regulations (PECR): Regulations governing privacy in electronic communications, relevant when audit logs contain communications data or metadata.

Computer Misuse Act 1990: Legislation addressing unauthorized access to computer systems, relevant for audit logging policies in terms of detecting and preventing unauthorized access.

ISO 27001: International standard for information security management, providing framework for audit logging requirements and best practices.

PCI DSS: Payment Card Industry Data Security Standard, specifying audit logging requirements for organizations handling payment card data.

SOX Compliance: Sarbanes-Oxley Act compliance requirements, relevant for organizations needing to maintain accurate financial records and audit trails.

Financial Services and Markets Act 2000: Legislation governing financial institutions, including requirements for record-keeping and audit trails in financial transactions.

Freedom of Information Act 2000: Legislation applicable to public bodies, requiring transparency and proper record-keeping, which affects audit logging requirements.

Investigatory Powers Act 2016: Legislation governing lawful interception and monitoring of communications, relevant for audit logging of communication systems.

Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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