In the evolving landscape of cybersecurity threats and regulatory requirements in India, organizations need a structured approach to evaluate and improve their security incident management capabilities. The Security Incident Management Audit Program serves as a crucial tool for organizations to assess their readiness to handle security incidents, ensure compliance with mandatory reporting requirements to CERT-In, and maintain alignment with the IT Act 2000 and associated rules. This document is essential when organizations need to demonstrate compliance, improve their security posture, or respond to regulatory changes. It encompasses comprehensive audit procedures, compliance requirements, reporting templates, and evaluation criteria, providing a systematic framework for both internal and external auditors to assess the effectiveness of security incident management processes.
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1. Purpose and Scope: Defines the objectives of the audit program and its boundaries, including systems, processes, and locations covered
2. Regulatory Framework and Compliance Requirements: Lists applicable laws, regulations, and standards that the audit program addresses
3. Definitions and Terminology: Defines key terms used throughout the document, including technical terms and incident classification
4. Roles and Responsibilities: Outlines the roles of audit team, management, IT security team, and other stakeholders
5. Audit Program Governance: Describes the oversight structure, reporting lines, and decision-making authority
6. Audit Methodology: Details the approach, techniques, and procedures for conducting security incident management audits
7. Incident Classification and Categorization: Framework for categorizing security incidents and determining their severity
8. Audit Areas and Control Objectives: Specific areas to be audited and the control objectives for each area
9. Documentation Requirements: Specifies required documentation, evidence collection, and retention policies
10. Reporting and Communication: Details the format, frequency, and distribution of audit reports
11. Corrective Action and Follow-up: Process for tracking and verifying remediation of audit findings
12. Quality Assurance: Measures to ensure the quality and consistency of the audit process
1. Industry-Specific Requirements: Additional requirements for specific sectors (e.g., banking, healthcare). Include when the organization operates in regulated industries
2. Cross-Border Considerations: Requirements for international operations. Include when the organization operates across multiple jurisdictions
3. Third-Party Audit Requirements: Requirements for auditing third-party service providers. Include when significant functions are outsourced
4. Cloud Security Considerations: Specific requirements for cloud environments. Include when cloud services are used
5. Remote Audit Procedures: Procedures for conducting remote audits. Include when remote auditing is necessary
6. Data Privacy Impact: Special considerations for privacy-related incidents. Include when handling sensitive personal data
1. Appendix A: Audit Checklist Templates: Standard checklists for different types of security incident management audits
2. Appendix B: Incident Response Plan Assessment Framework: Framework for evaluating the effectiveness of incident response plans
3. Appendix C: Risk Assessment Matrix: Templates and guidance for assessing incident risks and impacts
4. Appendix D: Audit Report Templates: Standardized templates for different types of audit reports
5. Appendix E: CERT-In Reporting Templates: Templates aligned with CERT-In incident reporting requirements
6. Appendix F: Control Testing Procedures: Detailed procedures for testing specific controls
7. Schedule 1: Audit Timeline and Frequency: Schedule of regular audits and timeframes
8. Schedule 2: Stakeholder Communication Matrix: Matrix defining communication protocols during audits
9. Schedule 3: Technical Tools and Resources: List of approved tools and resources for conducting audits
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Security Incident Management Audit Program
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