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Security Audit Policy

Security Audit Policy Template for India

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Key Requirements PROMPT example:

Security Audit Policy

"I need a Security Audit Policy for a mid-sized fintech company operating in India, which must comply with RBI guidelines and include specific provisions for cloud infrastructure security audits to be implemented by March 2025."

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Document background
The Security Audit Policy serves as a critical governance document for organizations operating in India, designed to establish standardized procedures for conducting regular security assessments and maintaining robust cybersecurity measures. This policy becomes essential in light of increasing cyber threats and regulatory requirements under the Indian Information Technology Act, 2000, CERT-In guidelines, and various sector-specific regulations. It provides detailed guidance on audit scheduling, methodology, documentation, and reporting requirements while ensuring compliance with both Indian and international security standards. The policy is particularly crucial for organizations handling sensitive data, operating in regulated industries, or maintaining significant digital infrastructure.
Suggested Sections

1. Purpose and Scope: Defines the objectives of the security audit policy and its applicability within the organization

2. Definitions: Clear definitions of technical terms, roles, and concepts used throughout the policy

3. Legal Framework and Compliance: Overview of relevant laws, regulations, and standards the policy adheres to

4. Roles and Responsibilities: Detailed description of duties for all parties involved in security audits

5. Audit Frequency and Schedule: Mandatory timeframes for different types of security audits

6. Audit Scope and Methodology: Standard procedures and approaches for conducting security audits

7. Documentation Requirements: Mandatory documentation and record-keeping procedures

8. Reporting and Communication: Standards for audit reporting and communication protocols

9. Non-Compliance and Remediation: Procedures for handling audit findings and required corrective actions

10. Review and Update Procedure: Process for regular policy review and updates

Optional Sections

1. Industry-Specific Requirements: Additional requirements for organizations in regulated industries like banking or healthcare

2. Cloud Security Audit Procedures: Specific procedures for organizations using cloud services

3. Third-Party Audit Requirements: Guidelines for external auditor selection and management

4. Remote Work Security Audit: Specific procedures for auditing remote work infrastructure

5. IoT Device Security Audit: Procedures for organizations with IoT infrastructure

6. Data Classification and Handling: Detailed procedures for organizations handling sensitive data

7. International Operations Compliance: Additional requirements for organizations operating internationally

Suggested Schedules

1. Audit Checklist Template: Standardized checklist for different types of security audits

2. Risk Assessment Matrix: Template for evaluating and categorizing security risks

3. Audit Report Template: Standardized format for audit reporting

4. Compliance Calendar: Annual schedule of mandatory audits and reviews

5. Incident Response Procedure: Detailed steps for handling security incidents discovered during audits

6. Tool and Technology Requirements: List of approved security audit tools and technologies

7. Sample Audit Findings Classification: Framework for categorizing and prioritizing audit findings

8. Remediation Timeline Template: Standard timelines for addressing different categories of findings

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

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Security Audit
Audit Scope
Audit Evidence
Audit Findings
Audit Report
Audit Trail
Authentication
Authorization
CERT-In
Compliance
Confidential Information
Critical Infrastructure
Cybersecurity
Data Breach
Data Classification
External Auditor
Information Asset
Information Security
Internal Auditor
Internal Controls
IT Infrastructure
Non-Compliance
Personal Data
Risk Assessment
Risk Management
Security Controls
Security Incident
Sensitive Personal Data
System Logs
Technical Vulnerability
Threat Assessment
User Access Rights
Vulnerability Assessment
Security Metrics
Remediation Plan
Root Cause Analysis
Penetration Testing
Security Framework
Audit Committee
Compensating Controls
Control Objective
Exception Management
Key Performance Indicator (KPI)
Risk Appetite
Security Architecture
Security Policy
Clauses
Scope and Objectives
Legal Compliance
Roles and Responsibilities
Audit Planning
Audit Methodology
Documentation Requirements
Access Rights
Confidentiality
Data Protection
Risk Assessment
Reporting Requirements
Non-Compliance Handling
Remediation Procedures
External Auditor Requirements
Internal Controls
Evidence Collection
Communication Protocols
Quality Assurance
Record Retention
Training Requirements
Emergency Procedures
Incident Response
Change Management
Performance Metrics
Policy Review
Accountability
Enforcement
Exception Management
Technical Requirements
Security Controls
Relevant Industries

Banking and Financial Services

Information Technology

Healthcare

E-commerce

Telecommunications

Government and Public Sector

Manufacturing

Insurance

Education

Professional Services

Retail

Energy and Utilities

Relevant Teams

Information Security

Internal Audit

Information Technology

Compliance

Risk Management

Legal

Operations

Infrastructure

Data Protection

Quality Assurance

Relevant Roles

Chief Information Security Officer (CISO)

Chief Technology Officer (CTO)

IT Security Manager

Compliance Manager

Risk Manager

Internal Audit Manager

Security Analyst

IT Director

Data Protection Officer

Chief Risk Officer

Information Security Analyst

Systems Administrator

Network Security Engineer

Chief Information Officer (CIO)

Cybersecurity Consultant

Industries
Information Technology Act, 2000 (IT Act): The primary legislation governing electronic transactions, cybersecurity, and digital evidence in India. Provides legal framework for security practices and procedures.
IT (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011: Specifies requirements for handling sensitive personal data and mandates implementation of reasonable security practices.
Personal Data Protection Bill (Latest Version): Though pending enactment, provides framework for personal data protection and security measures that organizations must implement.
RBI Guidelines on Cybersecurity Framework: Specific guidelines for banking sector regarding cybersecurity audit requirements and security protocols.
SEBI Guidelines for Cybersecurity & Cyber Resilience: Framework for securities market intermediaries regarding security audit requirements and cybersecurity measures.
Companies Act, 2013 (Section 134): Mandates directors' responsibility statement regarding internal financial controls and their effectiveness.
CERT-In Guidelines: Directives from Indian Computer Emergency Response Team regarding security audits, incident reporting, and cybersecurity practices.
ISO/IEC 27001:2013: While not legislation, these international standards are recognized by Indian authorities as acceptable security standards for organizations.
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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