The Security Incident Management Audit Program is essential for organizations operating in Canada that need to ensure their incident management processes meet regulatory requirements and industry standards. This document becomes necessary when organizations need to establish or verify their security incident handling capabilities, particularly in light of increasing cyber threats and stringent privacy regulations. The program provides a structured approach to evaluating incident management processes, ensuring compliance with Canadian federal and provincial privacy laws, and maintaining effective security controls. It includes comprehensive audit procedures, compliance mappings, and reporting templates, making it particularly valuable for organizations subject to PIPEDA, provincial privacy laws, and industry-specific regulations. The document serves as both a compliance tool and a framework for continuous improvement of security incident management capabilities.
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1. 1. Program Authority and Scope: Establishes the authority under which the audit program operates and defines its scope, including regulatory framework and organizational context
2. 2. Definitions and Terminology: Comprehensive list of terms used throughout the program, including technical terms, incident classifications, and audit-specific terminology
3. 3. Roles and Responsibilities: Defines the roles involved in the audit program, including audit team, management, incident response team, and other stakeholders
4. 4. Audit Objectives and Frequency: Specifies the goals of the security incident management audit program and required frequency of audits
5. 5. Audit Methodology: Details the standard approach for conducting security incident management audits, including planning, execution, and reporting phases
6. 6. Documentation Requirements: Specifies required documentation for both the audit process and evidence collection
7. 7. Compliance Requirements: Outlines specific compliance requirements under Canadian law and relevant industry standards
8. 8. Reporting and Communication: Details requirements for audit reporting, including templates, timeframes, and communication protocols
9. 9. Follow-up and Remediation: Procedures for tracking audit findings, recommendations, and verification of remediation actions
1. Industry-Specific Requirements: Additional requirements specific to regulated industries (e.g., financial services, healthcare) - include when organization operates in regulated sectors
2. Cross-Border Considerations: Special requirements for organizations operating across multiple jurisdictions - include when organization has international operations
3. Third-Party Audit Requirements: Specific requirements for external auditors - include when external auditors will be engaged
4. Cloud Service Provider Considerations: Special requirements for auditing cloud-based incident management systems - include when cloud services are used
5. Critical Infrastructure Requirements: Additional requirements for critical infrastructure organizations - include when organization is designated as critical infrastructure
1. Schedule A: Audit Checklist Template: Standardized checklist for conducting security incident management audits
2. Schedule B: Risk Assessment Matrix: Template for evaluating and categorizing audit findings based on risk level
3. Schedule C: Incident Classification Guide: Detailed guide for classifying different types of security incidents
4. Schedule D: Audit Report Template: Standardized template for documenting audit findings and recommendations
5. Schedule E: Regulatory Compliance Mapping: Mapping of audit requirements to specific regulatory requirements
6. Appendix 1: Sample Evidence Collection Forms: Templates for documenting collected evidence during audits
7. Appendix 2: Interview Guidelines: Guidelines and question templates for conducting audit interviews
8. Appendix 3: Technical Control Assessment Guidelines: Detailed procedures for assessing technical security controls
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