How to Audit Incident Management - Top 10 audit check points (2020)

Summary

In this video, Salvadore Vaz guides viewers through the 10 essential steps to auditing an incident management process in an organization. The process includes verifying the existence of an incident management policy, ensuring incidents are tracked in a SIEM system, and ensuring appropriate training for incident responders. The steps cover evaluating incident severity, prioritizing incidents based on impact, and ensuring timely resolution. Additionally, the audit should assess the collection of evidence, perform root cause analysis, and ensure compliance with regulatory requirements. This structured approach helps organizations ensure effective incident management and continuous improvement.

Takeaways

• 😀 Ensure there is a defined, approved, and regularly reviewed incident management policy covering response plans, roles, responsibilities, and escalation metrics.
• 😀 Verify that security incidents and events are logged into a SIEM solution, with clear incident response and resolution procedures in place.
• 😀 Confirm that incident responders are well-trained and that employees have a mechanism to report incidents.
• 😀 Check that incidents are properly logged for tracking, with all necessary details captured and stored in an incident management system.
• 😀 Ensure that incidents are evaluated based on their criticality and severity (e.g., high, medium, low).
• 😀 Verify that incidents are prioritized based on their impact on the organization and that appropriate resources are assigned.
• 😀 Ensure that incidents are followed up for updates and closures, with escalation procedures followed when necessary.
• 😀 Confirm that all critical incidents are reported to management, resolved, and properly closed.
• 😀 Check whether response and resolution times for incidents meet the organization's service level agreements (SLAs).
• 😀 Ensure that all evidence is collected and securely stored, and that Root Cause Analysis (RCA) is performed to extract learnings for future incidents.
• 😀 Verify compliance with any regulatory or statutory requirements related to incident reporting or security breaches.

Q & A

What is the primary goal of incident management in an organization?

The primary goal of incident management is to restore service to normal as quickly as possible after an incident occurs, minimizing the disruption to the organization's operations.

Why is it important to have an incident management policy in place?

An incident management policy ensures that incidents are handled in a standardized and structured way. It helps define roles, responsibilities, and escalation procedures, providing clear guidance on how to respond to incidents.

What should an incident management policy include?

An incident management policy should include incident response plans, roles and responsibilities, escalation procedures, and performance metrics to track the effectiveness of the incident management process.

How does a Security Information and Event Management (SIEM) solution contribute to incident management?

A SIEM solution helps log and track security incidents and events in real time, providing the necessary data for response and resolution. It centralizes incident information and allows for more efficient detection and analysis.

What is the significance of logging incidents in an application?

Logging incidents in an application ensures that all details of the incident are captured properly, allowing for efficient tracking, analysis, and resolution. It also enables easy reference to known errors for future incidents.

Why is incident prioritization based on severity and criticality important?

Incident prioritization based on severity and criticality ensures that the most urgent and impactful incidents are addressed first, allocating resources effectively to mitigate potential risks to the organization.

What role does incident follow-up and closure play in incident management?

Incident follow-up and closure are crucial for ensuring that incidents are fully resolved and that any outstanding issues are addressed. It also ensures that necessary escalations are made to avoid delays and meet resolution deadlines.

How can organizations ensure compliance with service level agreements (SLAs) for incident response and resolution?

Organizations can ensure SLA compliance by regularly tracking and evaluating the response and resolution times for incidents. Reviewing sample incidents helps assess if SLAs are being met and identifies areas for improvement.

What is the importance of evidence collection and Root Cause Analysis (RCA) in incident management?

Evidence collection ensures that incident data is preserved securely for future reference and analysis. Performing Root Cause Analysis (RCA) helps identify the underlying causes of incidents, allowing organizations to prevent recurrence and improve their incident management processes.

Why is it necessary to comply with regulatory or statutory requirements for incident reporting?

Complying with regulatory and statutory requirements ensures that the organization meets legal obligations for incident reporting and security breaches. This helps avoid legal penalties and maintain trust with stakeholders, including customers and regulators.