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Incident Response Audit Program
"I need an Incident Response Audit Program for a Canadian financial services company that complies with OSFI guidelines and includes specific provisions for third-party service providers, scheduled to be implemented by March 2025."
1. Purpose and Scope: Defines the objectives of the audit program and its boundaries, including systems, processes, and organizational units covered
2. Roles and Responsibilities: Details the roles involved in the audit process, including audit team, stakeholders, and organizational leadership
3. Audit Framework and Methodology: Outlines the systematic approach to conducting incident response audits, including standards and methodologies used
4. Incident Response Plan Review: Evaluation criteria for reviewing the organization's incident response plan, policies, and procedures
5. Technical Controls Assessment: Framework for evaluating technical incident detection, analysis, and response capabilities
6. Communication and Reporting Protocols: Assessment of internal and external communication procedures during incidents
7. Documentation Requirements: Specifies required documentation for incident response processes and audit trails
8. Compliance Requirements: Overview of regulatory and legal compliance requirements for incident response
9. Testing and Exercise Evaluation: Criteria for assessing incident response drills and simulations
10. Audit Reporting and Follow-up: Standards for audit documentation, findings reporting, and remediation tracking
1. Industry-Specific Requirements: Additional audit requirements for specific sectors (e.g., financial services, healthcare)
2. Cloud Service Provider Assessment: Evaluation criteria for cloud-based incident response capabilities, used when organization utilizes cloud services
3. Third-Party Integration Assessment: Review of incident response coordination with third-party service providers and partners
4. Remote Work Considerations: Special considerations for auditing incident response capabilities in remote/hybrid work environments
5. International Operations: Additional requirements for organizations operating across multiple jurisdictions
1. Schedule A: Audit Checklist Templates: Detailed checklists for each aspect of the incident response audit
2. Schedule B: Technical Control Assessment Matrix: Detailed evaluation criteria for technical controls and tools
3. Schedule C: Compliance Framework Mapping: Mapping of audit requirements to relevant regulatory frameworks
4. Schedule D: Sample Incident Scenarios: Standard scenarios for testing incident response capabilities
5. Appendix 1: Audit Report Template: Standardized format for documenting audit findings and recommendations
6. Appendix 2: Interview Questionnaires: Standard questions for different roles involved in incident response
7. Appendix 3: Metrics and KPI Framework: Definition of key performance indicators and measurement criteria
8. Appendix 4: Document Review Checklist: List of required documentation and review criteria
Authors
Financial Services
Healthcare
Government
Technology
Telecommunications
Energy and Utilities
Manufacturing
Retail
Professional Services
Education
Transportation and Logistics
Defense
Critical Infrastructure
Information Security
Internal Audit
Risk Management
Compliance
IT Operations
Security Operations Center
Legal
Privacy
Business Continuity
Crisis Management
Executive Leadership
Corporate Governance
Chief Information Security Officer (CISO)
IT Security Manager
Compliance Officer
Risk Manager
Internal Audit Director
Information Security Analyst
IT Operations Manager
Security Operations Center Manager
Privacy Officer
Incident Response Manager
Business Continuity Manager
Chief Risk Officer
IT Audit Manager
Cybersecurity Director
Governance Risk and Compliance Manager
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A Canadian-compliant framework for auditing organizational security incident management processes, aligned with PIPEDA and provincial privacy laws.
Incident Response Audit Program
A Canadian-compliant audit framework for evaluating organizational incident response capabilities and regulatory compliance.
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