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Security Incident Management Audit Program
"Need a Security Incident Management Audit Program for our financial services company that specifically addresses cloud infrastructure security and compliance with FCA requirements, to be implemented by March 2025."
1. Audit Scope and Objectives: Defines the boundaries and goals of the security incident management audit program, including systems, processes, and timeframes to be covered
2. Audit Methodology: Details the approach, tools, techniques, and standards used in conducting security incident management audits
3. Compliance Requirements: Comprehensive listing of applicable laws, regulations, and standards including DPA 2018, UK GDPR, NIS Regulations, and industry-specific requirements
4. Roles and Responsibilities: Defines key stakeholders, audit team composition, and their respective duties in the audit process
5. Audit Frequency and Schedule: Establishes the timing and frequency of audits, including regular assessments and trigger events for additional reviews
6. Documentation Requirements: Specifies the required documentation, evidence collection methods, and record-keeping standards
7. Reporting and Communication: Details the format, content, and distribution of audit findings and recommendations
8. Corrective Action Process: Outlines procedures for addressing identified deficiencies and tracking remediation efforts
1. Industry-Specific Controls: Additional controls and requirements specific to regulated industries such as financial services, healthcare, or critical infrastructure
2. Third-Party Assessment: Framework for evaluating security incident management capabilities of external service providers and partners
3. Cloud Security Controls: Specialized controls and considerations for cloud-based services and infrastructure security incident management
4. Remote Work Considerations: Additional controls and procedures for auditing incident management in remote work environments
1. Schedule A - Audit Checklist: Comprehensive checklist of control points and verification steps for security incident management audits
2. Schedule B - Incident Response Templates: Standard forms and procedures for documenting and categorizing security incidents
3. Schedule C - Risk Assessment Matrix: Framework for evaluating and categorizing security risks and their potential impact
4. Schedule D - Regulatory Compliance Mapping: Detailed matrix showing alignment between controls and various regulatory requirements
5. Schedule E - Audit Report Templates: Standardized formats for documenting audit findings, recommendations, and follow-up actions
6. Schedule F - Key Performance Indicators: Metrics and measurements for evaluating the effectiveness of security incident management processes
Authors
Audit Program
Audit Period
Audit Scope
Control Framework
Critical Assets
Data Breach
Detection Controls
Evidence
Findings
Incident Response Plan
Information Assets
Information Security
Internal Controls
Material Breach
Mitigation Measures
Non-Compliance
Personal Data
Prevention Controls
Recovery Time Objective
Recovery Point Objective
Response Time
Risk Assessment
Risk Level
Root Cause Analysis
Security Controls
Security Event
Security Measures
Severity Level
System Resources
Threat Actor
Vulnerability
Working Days
Audit Trail
Compensating Controls
Corrective Actions
Key Performance Indicators
Service Level Agreement
Testing Procedures
Third-Party Service Provider
Audit Methodology
Standards and Compliance
Roles and Responsibilities
Access Rights
Confidentiality
Documentation Requirements
Incident Classification
Assessment Criteria
Testing Procedures
Reporting Requirements
Data Protection
Record Retention
Performance Metrics
Corrective Actions
Quality Assurance
Risk Assessment
Control Testing
Evidence Collection
Incident Response
Business Continuity
Third Party Management
Training Requirements
Communication Protocols
Escalation Procedures
Non-Compliance Management
Audit Frequency
Review and Updates
Governance Structure
Technology Requirements
Resource Allocation
Change Management
Continuous Monitoring
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