framework associated with information systems & cyber
security
Frameworks associated with Information Systems and Cybersecurity
provide structured guidelines to assess, implement, and manage security
controls across organizations. Below is a list of major cybersecurity and
information systems frameworks, including their purpose and common use cases:
๐ Major Frameworks in
Information Systems & Cybersecurity
Framework |
Developed By |
Purpose |
Common Use Cases |
NIST SP 800-53 |
National Institute of Standards & Technology (USA) |
Catalog of security and privacy controls for federal
information systems. |
FedRAMP, U.S. federal agencies, system hardening, cloud
vendor assessments. |
NIST Cybersecurity Framework (CSF) |
NIST |
Voluntary framework to manage and reduce cybersecurity
risks. |
Public and private organizations for risk management and
cyber maturity. |
ISO/IEC 27001 & 27002 |
International Organization for Standardization |
Specifies an Information Security Management System
(ISMS). |
Certification, security governance, policy management. |
COBIT 2019 |
ISACA |
Framework for IT governance and management. |
Aligning IT strategy with business goals, audit controls,
risk oversight. |
CIS Controls |
Center for Internet Security |
18 prioritized cybersecurity controls to improve defense
posture. |
Quick-start security hardening, baseline for SMBs and
enterprises. |
PCI-DSS |
PCI Security Standards Council |
Standard for protecting payment card information. |
Used by merchants, payment processors, and financial
institutions. |
SOC 2 |
AICPA |
Assesses controls relevant to security, availability,
processing integrity. |
SaaS and service providers' assurance to clients,
especially in B2B environments. |
HIPAA Security Rule |
U.S. Dept. of Health & Human Services |
Safeguards for electronic protected health information
(ePHI). |
Healthcare providers, insurers, and cloud vendors handling
patient data. |
GDPR (EU Regulation) |
European Union |
Protects personal data and privacy in the EU and EEA. |
Data privacy compliance, cross-border data transfer,
privacy-by-design principles. |
MITRE ATT&CK |
MITRE Corporation |
Knowledge base of adversary tactics and techniques. |
Threat modeling, red teaming, and SOC maturity
assessments. |
TOGAF |
The Open Group |
Enterprise architecture methodology. |
Aligning IT architecture with business strategy and
objectives. |
ITIL (v4) |
AXELOS |
Service management best practices. |
IT operations, change management, incident response. |
๐งฉ How They Relate:
- NIST
800-53, ISO 27001, and CIS Controls offer technical
and administrative control structures.
- COBIT,
ITIL, and TOGAF focus on governance, process, and
strategic alignment.
- SOC
2, HIPAA, and PCI-DSS are industry-specific
compliance standards.
- MITRE
ATT&CK supports threat detection and incident response.
✅ Example Use Case (Microsoft
365):
- NIST
CSF: Used to evaluate risk posture across Microsoft 365 tenants.
- ISO
27001: Microsoft 365 certified to support enterprise security
management.
- CIS
Controls: Applied in Defender for Endpoint and Azure baselines.
- SOC
2: Reports provided to enterprise customers to demonstrate security
controls.
Would you like a visual diagram of how these
frameworks interrelate or a comparison table showing which controls map
across frameworks like NIST vs. ISO?
---------------------------------------
clear understanding of IT audit methodologies
A clear understanding of IT audit methodologies means being familiar with structured approaches and best practices used to assess and validate the effectiveness, efficiency, and compliance of an organization's IT controls, processes, and systems.
Here’s a breakdown of key components of IT audit methodologies:
๐ Core IT Audit Methodology Steps
Phase | Description | Example Activities |
---|---|---|
1. Planning | Define the audit scope, objectives, resources, and timeline. | Identify business processes, define systems in-scope (e.g., Microsoft 365), perform risk assessment. |
2. Risk Assessment | Understand and evaluate the risk environment to prioritize audit focus. | Use risk frameworks (e.g., NIST, ISO 27005) to identify critical assets and threats. |
3. Control Identification | Identify key IT controls relevant to the audit objectives. | E.g., access controls, backup controls, patch management, logging, encryption. |
4. Fieldwork / Testing | Execute audit procedures: observe, interview, inspect, and test controls. | Validate firewall rules, test user provisioning process, review system logs. |
5. Documentation | Record audit procedures, evidence collected, and test results. | Maintain audit workpapers in a secure repository with screenshots, configs, etc. |
6. Reporting | Summarize findings, risk ratings, and recommendations. | Prepare an audit report detailing observations, impact, and suggested remediations. |
7. Follow-up | Track remediation efforts and verify closure of issues. | Review closure evidence, conduct re-tests. |
๐ ️ Common IT Audit Methodologies and Standards
Standard / Methodology | Focus Area | Usage in Audits |
---|---|---|
ISACA ITAF | Framework for IT audit and assurance | Provides structure and professional standards for conducting IT audits. |
COBIT 2019 | IT governance and control objectives | Aligns audit findings with control objectives and business processes. |
NIST SP 800-53/115 | Technical security and privacy controls | Used to benchmark control strength and maturity. |
ISO/IEC 27001:2013 | Information Security Management System (ISMS) | Validates governance, policy, and control implementation for ISO-compliant systems. |
GAIT-R / GAIT for IT Risk | IT risk and control analysis for financial audits | Used by auditors to scope ITGCs (General Controls) for SOX and financial reporting audits. |
๐ Types of IT Audits
Audit Type | Focus | Example |
---|---|---|
General Controls (ITGC) | Overall IT infrastructure and process integrity | Access management, change control, backup, recovery. |
Application Controls | Specific application data integrity and workflows | SAP/Oracle transaction testing, Microsoft 365 mail flow rules. |
Cybersecurity Audit | Technical security posture and incident readiness | Firewall config, SIEM monitoring, endpoint security, MFA enforcement. |
Compliance Audit | Adherence to laws and standards (SOX, GDPR, HIPAA) | Verify encryption, data retention, user consent, breach notification. |
Cloud Audit | Controls for cloud environments like Azure/O365 | Shared responsibility model validation, SaaS security settings, logging. |
✅ Sample Audit Test (for Microsoft 365)
Control | Test Procedure | Evidence |
---|---|---|
Role-based access control (RBAC) | Verify access assignment is role-based and reviewed quarterly. | Admin role audit logs, access review reports. |
Email encryption | Check that sensitivity labels and mail flow rules are active. | Purview compliance portal screenshots. |
MFA enabled | Ensure Multi-Factor Authentication is enforced for all users. | Azure AD policy settings, user login logs. |
Would you like a downloadable Excel audit checklist or a template for conducting an IT audit?
-------------------------------------
Firewalls control testing table format
Here’s a Firewalls Control Testing table format that includes key areas to audit, test procedures, expected results, and evidence to collect. This can be used for IT audits, security assessments, or compliance reviews (e.g., ISO 27001, NIST 800-53, PCI-DSS).
๐ฅ Firewall Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence |
---|---|---|---|
Rule Base Review | Review firewall rule base for excessive or unused rules. | Rules follow least privilege; redundant rules removed. | Firewall rule base export; rule cleanup logs |
Change Management | Verify that changes to firewall rules follow an approved change control process. | All changes are documented, approved, and tested. | Change request forms; approval emails; implementation logs |
Access Restrictions | Test that only authorized IPs/ports are allowed through external firewall. | No unauthorized inbound ports open; geo/IP filtering active. | Firewall config; penetration test reports |
Logging & Monitoring | Confirm firewall logging is enabled and logs are reviewed regularly. | Logs are collected and reviewed; SIEM integration in place. | Log samples; SIEM dashboards; alert reports |
Default Deny Rule | Check for implementation of a default deny-all rule at the bottom of the rule set. | Default deny is present and actively blocks any undefined traffic. | Rule base snapshot; firewall config printout |
Network Segmentation | Verify segmentation between internal zones (e.g., finance vs. HR networks). | VLANs and firewall rules enforce zone-based access control. | Network diagrams; VLAN/firewall rules config |
Firewall Firmware/OS | Confirm that firewall firmware is up to date with vendor-recommended patches. | Latest stable firmware installed; no known vulnerabilities. | Firmware version screen; patch logs; vendor advisories |
VPN Firewall Policies | Review firewall rules related to VPN users and third-party access. | VPN users restricted to required resources only. | VPN rule list; user group policy review |
Outbound Rules | Verify control over outbound internet access. | Only required outbound ports/IPs allowed; DNS over HTTPS filtered. | Outbound ACLs; proxy settings; traffic logs |
Firewall Redundancy | Check for HA (High Availability) configuration. | Redundant firewall units are configured and tested. | HA status screen; failover test result logs |
Rule Recertification | Review periodic rule reviews for business justification and expiration. | Rule reviews are documented and outdated rules removed. | Rule recertification logs; review approvals |
✅ Notes:
-
Testing Tools: Nmap, Nessus, internal port scanners, SIEM tools, firewall management consoles (e.g., FortiGate, Palo Alto, Check Point).
-
Compliance Tie-ins: NIST AC-4, SC-7; ISO 27001 A.13.1.1; PCI-DSS Req 1.
Would you like this table in Excel or Word format for download or a version tailored to a specific firewall vendor (e.g., Fortinet, Palo Alto)?
--------------------------------------------------------
VPN control testing table format
Here's a comprehensive VPN Control Testing table format. This table outlines key control areas, test procedures, expected outcomes, and the evidence you should gather when auditing or validating VPN security.
๐ VPN Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
Authentication Mechanism | Verify VPN access requires multi-factor authentication (MFA). | Users must provide MFA (e.g., OTP, mobile app) to authenticate. | VPN configuration screen; MFA logs; user login screenshots |
Access Control / RBAC | Review access restrictions based on user roles/groups. | VPN users only access authorized systems (least privilege). | AD group membership; firewall rules; access matrix |
VPN Logging | Confirm that VPN connections and activities are logged and stored securely. | All connection attempts (success/failure) are logged and reviewed. | Syslog/SIEM logs; VPN audit trail; login history reports |
Encryption Protocol | Validate VPN uses strong encryption (e.g., AES-256, IKEv2, TLS 1.2/1.3). | Encryption standards align with security policy and best practices. | VPN server settings; protocol configuration screenshots |
Idle Timeout/Session Timeout | Review VPN settings for session timeout after inactivity. | VPN sessions terminate after X minutes of inactivity or after Y hours of use. | Config screenshots; session logs; timeout policy document |
Split Tunneling | Check if split tunneling is enabled and whether it's justified/controlled. | Split tunneling is disabled or tightly controlled to avoid data leakage. | VPN config; justification approval (if enabled); traffic capture |
Client Software Security | Validate VPN clients are updated and include endpoint protection. | Only approved and patched clients connect; endpoint protection enabled. | Client deployment logs; device compliance reports |
Third-Party Access Review | Verify third-party/vendor VPN accounts are reviewed regularly. | Access reviewed quarterly; access removed when contract ends. | Review logs; access certification report; contract term confirmation |
Geo/IP Restrictions | Confirm geo-blocking or IP-based filtering on VPN login attempts. | VPN access limited to specific regions or whitelisted IPs. | VPN access policy; logs of blocked attempts; geo restrictions config |
Account Lockout Policy | Check if multiple failed login attempts lead to account lockout. | Lockout after predefined failed attempts (e.g., 5); alert generated. | Policy settings; SIEM alert log; test attempt screenshots |
User Awareness | Confirm users are trained on secure VPN usage and phishing risks. | Regular training and acknowledgment of acceptable use policies. | Training logs; signed AUP forms |
Certificate-Based Auth (Optional) | Review use of client certificates for device authentication. | Certificates managed securely, revoked on device deprovisioning. | PKI logs; certificate revocation list (CRL); cert issuance reports |
๐ง Notes:
-
Common Tools: Wireshark, Nmap, SIEM (e.g., Splunk, QRadar), VPN dashboards (Cisco AnyConnect, FortiClient, etc.)
-
Compliance Reference:
-
NIST SP 800-53: AC-17, SC-12–SC-13
-
ISO/IEC 27001: A.13.2.1, A.13.1.1
-
PCI-DSS: Req 4.1, 8.1
-
Would you like this table as a downloadable Excel sheet or tailored for a specific VPN platform (like Cisco AnyConnect, FortiGate, or Azure VPN)?
------------------------------------------
DLP control testing table format
๐ก️ DLP (Data Loss Prevention) Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
Policy Coverage | Review DLP policies and scope (e.g., email, endpoints, cloud storage, USB). | Policies are in place for all sensitive data channels and aligned with regulations. | DLP policy configuration screenshots; policy scope documentation |
Sensitive Data Classification | Check use of data labels or built-in sensitive info types (e.g., PII, PHI, PCI). | Policies detect and tag defined sensitive information consistently. | Label definitions; sensitivity info types list; policy test logs |
Policy Enforcement Actions | Test policy enforcement (e.g., block, encrypt, notify, quarantine) for policy violations. | Action matches policy and is triggered correctly during test violations. | Test result logs; email alerts; blocked file transfer screenshots |
User Notifications | Verify that users are informed when DLP blocks an action. | End users receive warnings or tips with policy violation details. | Screenshots of pop-up warnings, warning emails, documentation |
False Positives Handling | Review process to manage false positives or allow business exceptions. | False positives are reviewed, documented, and exceptions approved as needed. | Exception request logs; policy tuning records; approval emails |
Policy Review and Updates | Check whether DLP policies are reviewed periodically. | Policies are reviewed at least annually or upon regulatory/organizational changes. | Policy review logs; meeting minutes; updated policy versions |
Logging and Alerting | Confirm DLP actions are logged and alerting is active for high-risk incidents. | Alerts sent to security team; logs stored in SIEM/Security portal. | Alert emails; SIEM dashboards; incident response tickets |
Cloud Integration (M365, GDrive) | Verify DLP coverage across cloud apps like SharePoint, OneDrive, Teams, or Gmail. | DLP blocks or monitors sensitive sharing/upload across cloud platforms. | Test logs; cloud DLP configuration; CASB/DLP alerts |
Endpoint DLP | Test USB/file copy restrictions on laptops/desktops with sensitive data. | Copy/print/transfer blocked or logged per policy. | Device DLP policy settings; endpoint logs; blocked activity screenshots |
External Sharing Controls | Verify detection/blocking of sensitive data being shared with external users. | Unauthorized external sharing is blocked or flagged for review. | Email DLP alerts; M365 external sharing logs; audit trails |
Reporting and Dashboards | Review dashboards for DLP incidents and trends (weekly/monthly reports). | Clear, actionable visibility into policy violations and trends. | Sample dashboards; PDF/CSV reports; management presentation decks |
Incident Response Process | Confirm documented steps for responding to DLP incidents. | Defined process followed for triage, escalation, and resolution. | IR workflow documents; incident logs; response timeline |
Integration with CASB/SIEM | Verify DLP logs are integrated into broader security tools like CASB or SIEM. | DLP events correlated with other threats for better visibility. | SIEM correlation rules; CASB alerts; integration documentation |
✅ Notes:
-
DLP Platforms: Microsoft Purview DLP (M365), Symantec DLP, Forcepoint DLP, Digital Guardian, McAfee, etc.
-
Regulatory Alignment:
-
GDPR, HIPAA, PCI-DSS, ISO/IEC 27001 (A.8.2, A.13.2)
-
NIST 800-53: AC-20, MP-5, SC-28
-
Would you like this in Excel sheet format for download or tailored to Microsoft 365 Purview DLP specifically?
-------------------------------------------
IDS/IPS control testing table format
Here is a detailed IDS/IPS (Intrusion Detection/Prevention System) Control Testing Table format. This is useful for auditing and validating the effectiveness of intrusion detection and prevention systems in your environment.
๐ก️ IDS/IPS Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
IDS/IPS Deployment | Verify IDS/IPS sensors are deployed at critical network points (e.g., DMZ, internal segments). | Sensors monitor all critical ingress/egress points. | Network diagram; device inventory; deployment architecture |
Signature/Ruleset Updates | Check if IDS/IPS signatures/rules are updated regularly (automated or manual). | Latest signatures are applied timely (daily/weekly updates). | Update logs; config screenshots; vendor documentation |
Detection vs. Prevention Mode | Confirm whether sensors operate in IDS (monitor) or IPS (block) mode. | IPS sensors actively block, IDS sensors log and alert as expected. | System settings; log samples; policy configuration |
Alert Logging and Monitoring | Validate that IDS/IPS alerts are logged and sent to the SIEM/SOC for review. | Alerts are visible in real-time and stored for auditing. | Alert logs; SIEM dashboard screenshots; incident reports |
False Positive Rate | Review logs and SOC reports for high levels of false positives. | Acceptable false positive rate with tuning applied regularly. | SOC reports; tuning history; sample alerts |
Rule Tuning and Customization | Assess whether rules are customized for your environment (e.g., filtering internal traffic). | Only relevant, risk-based rules active; noise reduced by tuning. | Rule configuration snapshots; tuning log; change management evidence |
Alert Classification | Check if alerts are categorized by severity (critical, high, medium, low). | Alerts are prioritized for faster triage and incident response. | Sample alert classification policy; SIEM integration config |
Incident Response Integration | Verify there is an IR plan for critical IDS/IPS detections. | Alerts result in actionable IR steps (block, isolate, escalate). | IR workflow; incident tickets; response time metrics |
Bypass Testing (PenTest/Red Team) | Conduct simulated attacks (e.g., port scans, SQLi) to test detection. | IDS/IPS detects or blocks attempts according to configured rules. | Penetration test report; SOC detection logs; alerts from simulations |
High Availability (HA) | Confirm IDS/IPS systems have redundancy or failover capabilities. | No single point of failure in threat detection/prevention coverage. | HA configuration documentation; failover test logs |
Traffic Visibility Coverage | Validate monitoring of encrypted traffic or known blind spots. | Encrypted traffic decrypted (if applicable) or logged separately. | SSL/TLS inspection logs; network segmentation map |
Blocking Effectiveness (IPS) | Review logs to confirm IPS blocks malicious traffic (e.g., brute force, exploits). | Confirmed block events aligned with signature severity. | IPS log entries showing block action; threat feed correlation |
Alert Response SLA | Check SOC or IT response time to IDS/IPS alerts. | Alerts triaged and addressed within SLA (e.g., 15 minutes for critical alerts). | SOC SLA report; alert-to-ticket timeline; escalation matrix |
๐งฐ Notes:
-
Common IDS/IPS Solutions: Cisco Firepower, Palo Alto Threat Prevention, Snort, Suricata, FortiGate IPS, AWS GuardDuty (IDS-like).
-
Compliance Mappings:
-
NIST SP 800-53: SI-4 (System Monitoring), AU-6 (Audit Review)
-
ISO 27001: A.12.4.1, A.13.1.1
-
PCI-DSS: Req 11.4 (IDS/IPS), Req 10 (Logging)
-
Would you like this control table in Excel format, or tailored to a specific IDS/IPS platform like Snort, Palo Alto, or Microsoft Defender for Endpoint?
-----------------------------------------------
Web Proxy control testing table format
Here is a detailed Web Proxy Control Testing Table Format that outlines the key controls, testing steps, expected outcomes, and types of evidence to collect when auditing or assessing a web proxy solution.
๐ Web Proxy Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
Proxy Enforcement | Confirm that all internet-bound traffic is routed through the proxy server. | All outbound web traffic passes through and is logged by the proxy. | Network diagram; proxy configuration; firewall rules |
URL Filtering | Test blocking of restricted categories (e.g., gambling, adult, malware). | Access to blocked categories is denied, and alert or warning is shown. | Policy settings; denied access logs/screenshots; category lists |
User Authentication | Check if proxy enforces user identification (e.g., AD credentials). | Each user is identifiable in proxy logs; anonymous browsing is blocked. | Authentication policy config; sample logs with user IDs |
SSL Inspection (HTTPS Filtering) | Test if proxy inspects encrypted traffic (SSL/TLS) and applies filtering. | HTTPS traffic is decrypted and scanned where permitted. | Certificate deployment details; inspection logs; blocked HTTPS test cases |
Malware/Threat Protection | Simulate download of EICAR test file or known bad domain. | File download is blocked or flagged for malware. | Block logs; alert emails; antivirus engine config |
Bandwidth Control / QoS | Verify bandwidth restrictions or prioritization for specific users or categories. | Users/sites are throttled or prioritized as configured. | Bandwidth policy config; traffic monitoring graphs |
Anonymizer/Proxy Avoidance Detection | Attempt to access content via known proxy/anonymizer sites. | Access blocked and alerts generated. | Block lists; alert logs; denied access screenshots |
Logging and Monitoring | Ensure all proxy traffic (URLs, timestamps, users, IPs) is logged and monitored. | Complete and readable logs available for forensic and compliance needs. | Sample log exports; SIEM dashboard; alert rules |
Policy by Group or Department | Confirm that web access policies vary by user role or department. | HR, IT, Finance, etc., have tailored policies based on business needs. | Group-based policy config; AD group mapping; exception approval evidence |
Access Time Restrictions | Test access to non-business websites during restricted hours. | Access denied outside allowed timeframes. | Policy settings; blocked attempt logs/screenshots |
Block Unauthorized File Transfers | Attempt to upload or download restricted file types (e.g., EXE, ZIP). | Blocked per policy; alerts or logs generated. | Proxy logs; file policy rules; screenshots of blocked transfer attempts |
Data Loss Prevention Integration | Verify integration with DLP for monitoring data exfiltration via HTTP/HTTPS. | Sensitive content detection and action (block, log, alert) is functional. | DLP policy rules; incident logs; proxy-DLP integration config |
Alerting and Reporting | Confirm alerts for policy violations and regular report generation. | Alerts go to security team; reports are generated and reviewed periodically. | Alert samples; email logs; PDF/Excel reports |
Exception Management | Review how proxy access exceptions are requested, approved, and monitored. | Clear approval workflow; time-limited and auditable exceptions. | Exception logs; approval emails; access review documentation |
๐งฐ Notes:
-
Common Web Proxy Solutions: Zscaler, Blue Coat (Symantec), Forcepoint, Cisco Umbrella, Squid, Palo Alto PAN-OS Web Filter, Microsoft Defender for Endpoint with Web Content Filtering.
-
Compliance Mapping:
-
ISO 27001: A.12.2.1 (Malware Protection), A.9.1 (Access Control)
-
NIST 800-53: SC-7, SI-4, AC-3
-
PCI-DSS: Req 1.2.1, 10.1, 11.4
-
Would you like this table exported as an Excel file, or customized for a specific proxy solution like Zscaler, Cisco Umbrella, or Microsoft Defender for Endpoint?
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BCP control testing table format
Here is a detailed Business Continuity Planning (BCP) Control Testing Table Format, which can be used to assess the readiness, effectiveness, and documentation of your BCP controls across IT and business functions.
๐ก️ BCP (Business Continuity Planning) Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
BCP Policy and Governance | Review the organization's BCP policy, ownership, and update frequency. | Formal, approved BCP policy exists and is reviewed annually. | BCP policy document; review logs; approval emails |
Business Impact Analysis (BIA) | Verify if a BIA has been conducted to identify critical business functions, dependencies, and RTO/RPO. | BIA completed for all business units and updated regularly. | BIA report; BIA questionnaire responses; criticality matrix |
Risk Assessment | Review risk identification related to business disruption (e.g., natural disasters, cyberattacks). | Risk scenarios documented and addressed in BCP plans. | Risk register; threat matrix; risk treatment plan |
BCP Plan Documentation | Check for documented continuity plans for business units and IT services. | Current, detailed, and department-specific plans exist. | BCP playbooks; backup plans; emergency contact lists |
Alternate Site & Recovery Facilities | Verify the existence and readiness of alternate work sites or recovery data centers. | Sites equipped with necessary infrastructure and periodically tested. | Site visit reports; DR site contracts; test logs |
Emergency Communication Procedures | Evaluate internal and external communication plans during disruption. | Procedures for contacting staff, vendors, and clients are defined and tested. | Communication plan; contact tree; alert system test logs |
IT Disaster Recovery (DR) Integration | Ensure alignment between BCP and IT DR plans. | DR plans support business RTOs and RPOs. | DR strategy; DR test reports; BCP–DR mapping documentation |
Training and Awareness | Confirm that relevant staff are trained on BCP roles and responsibilities. | Employees aware of their BCP duties; training logs maintained. | Training attendance records; quiz results; awareness posters/emails |
Periodic Testing / Drills | Check that BCP and DR drills (tabletop or simulation) are conducted periodically. | Annual or semi-annual testing with documented results and lessons learned. | Test schedules; exercise reports; post-test analysis documents |
Plan Maintenance & Review | Verify if plans are updated after changes in business, systems, or personnel. | Plans are reviewed and updated at least annually or after major changes. | Version control logs; change records; review meeting minutes |
Third-Party Continuity | Assess if critical vendors have their own BCPs and if due diligence is performed. | Vendor BCPs are reviewed periodically; key vendors tested for continuity assurance. | Vendor risk assessment; third-party BCP audit results; contract clauses |
Power & Utility Redundancy | Validate availability of backup power (UPS/generator) and utility failover mechanisms. | Systems supported by backup power for required duration. | UPS/generator test logs; maintenance reports; facility layout diagrams |
Recovery Time Objective (RTO) | Check alignment of RTOs across systems and business expectations. | RTOs are realistic and achievable as per test results. | RTO matrix; SLA documentation; recovery logs |
Recovery Point Objective (RPO) | Validate the RPO defined and supported by backup and recovery mechanisms. | Data loss window does not exceed the defined RPO. | Backup logs; backup frequency schedules; test restore reports |
Audit and Compliance | Confirm internal or external audits are conducted for BCP. | BCP audits are scheduled, performed, and findings remediated. | Audit reports; remediation plans; compliance tracker |
๐งฐ Notes:
-
BCP Standards to consider:
-
ISO 22301 – Business Continuity Management
-
NIST SP 800-34 – Contingency Planning Guide
-
FFIEC, SOX, HIPAA for regulated industries
-
Would you like this in Excel format or tailored for a specific industry (e.g., BFSI, ITES, Healthcare)?
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3rd Party control testing table format
Here is a detailed Third-Party (Vendor) Risk Management Control Testing Table Format, useful for evaluating and auditing the security, compliance, and continuity posture of your external vendors and service providers.
๐ค Third-Party Risk Management (TPRM) Control Testing – Table Format
Control Area | Test Procedure | Expected Result | Evidence to Collect |
---|---|---|---|
Third-Party Inventory | Review the inventory of active vendors and their classification (critical, high, medium, low). | All third parties documented with risk tiering. | Vendor register; risk classification matrix |
Contractual Obligations | Examine vendor contracts for clauses on security, BCP, data protection, and compliance. | SLAs, security requirements, audit rights, and exit clauses are defined. | Contract copies; redlined agreements; SLA documents |
Due Diligence / Risk Assessment | Review onboarding due diligence and periodic risk assessments. | Risk assessments performed and documented pre-contract and periodically thereafter. | Risk questionnaires; assessment reports; risk ratings |
Security Questionnaire Review | Check vendor responses to cybersecurity or IT control questionnaires (e.g., SIG, CAIQ, ISO mapping). | Responses reviewed and verified; gaps documented. | Completed questionnaires; assessment summaries; follow-up logs |
Compliance & Certification | Verify vendor certifications (e.g., ISO 27001, SOC 2, PCI-DSS). | Valid and recent certifications obtained and validated. | Certificate copies; audit reports; expiration tracking logs |
Data Handling & Privacy Compliance | Ensure vendors handling PII or sensitive data comply with GDPR, HIPAA, etc. | Data processing agreements (DPAs) and privacy safeguards in place. | DPA documents; data flow diagrams; legal reviews |
Business Continuity / DR Capability | Check for documented BCP/DR plans for critical vendors. | Plans exist, tested periodically, and aligned with your business needs. | BCP documents; test reports; audit results |
Onsite Audit or Remote Assessment | Review past audit findings or request virtual audit if applicable. | Audit findings remediated or documented exceptions approved. | Audit reports; remediation logs; assessment walkthrough notes |
Access Management | Validate access controls for third parties accessing internal systems. | Access is least-privileged, time-bound, and logged. | Access request forms; identity logs; termination records |
Security Incident Reporting | Review SLAs for breach reporting and incident response collaboration. | Timely reporting and root cause analysis defined contractually. | Breach notification SLA; incident logs; communication trail |
Monitoring & Performance Review | Evaluate vendor's operational performance and compliance status periodically. | Vendor performance reviewed against KPIs and security benchmarks. | Review meeting minutes; SLA reports; performance dashboards |
Fourth-Party Disclosure | Check if vendors disclose their subcontractors and fourth-party risks are assessed. | Fourth parties are identified, and their criticality and controls are reviewed. | List of subcontractors; risk review documents |
Termination & Offboarding Controls | Review vendor offboarding procedures including data return/destruction. | Data and access are securely removed; obligations continue post-termination. | Exit checklist; data destruction certificates; access logs |
Continuous Monitoring | Confirm real-time or periodic monitoring (e.g., threat intel, risk scoring platforms like BitSight). | Ongoing monitoring tools or manual review processes in place. | Risk score reports; monitoring platform screenshots; alert logs |
Legal / Regulatory Requirements | Ensure vendor services align with industry-specific regulatory needs (e.g., PCI, FFIEC, SOX). | Compliance with sectoral standards validated. | Compliance checklists; regulatory mapping; legal reviews |
๐ Notes:
-
Frameworks & References:
-
ISO 27036 (Supplier Relationships)
-
NIST SP 800-161 (Supply Chain Risk Management)
-
SIG Questionnaire (Shared Assessments)
-
GDPR Article 28 (Processor Obligations)
-
Would you like this in Excel format for reporting or evidence collection, or tailored to a specific industry like banking, healthcare, or SaaS vendors?
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Prior Experience as LOD2/ LOD3 Information security Manager in a Bank or Large Financial Institution with direct interactions with Regulators or experience in internal IT audits/ Information security audits.
Here’s a detailed explanation of the prior experience expected for a Line of Defense 2 (LOD2) or Line of Defense 3 (LOD3) Information Security Manager role in a Bank or Large Financial Institution, particularly with a focus on interactions with regulators and internal IT/information security audits.
๐งท LOD2 / LOD3 Information Security Manager – Expected Experience Overview
Area | Details | Examples |
---|---|---|
Role in Risk Governance | - LOD2 ensures oversight, guidance, and challenge to the first line (operations).- LOD3 performs independent audit and assurance over LOD1 & LOD2 functions. | - Review and challenge risk assessments, mitigation plans, and control testing results. |
IT Risk and Cybersecurity Oversight | - Deep understanding of cyber threats, vulnerabilities, and mitigation.- Oversight of security KPIs, risk dashboards, and control frameworks. | - Validate the effectiveness of endpoint protection, network segmentation, patch compliance. |
Policy & Framework Review | - Contribute to or review information security frameworks, policies, and procedures aligned with ISO 27001, NIST, and regulatory expectations. | - Review of Information Security Policy, Acceptable Use Policy, and Cloud Security Guidelines. |
Regulatory Interaction Experience | - Familiarity with RBI, SEBI, MAS, GDPR, FFIEC, etc.- Experience facing regulators and preparing audit responses and compliance submissions. | - Respond to regulatory notices, prepare IS audit packs, and participate in regulatory interviews. |
Audit & Control Testing | - LOD3 focuses on auditing security controls, policies, and frameworks for effectiveness and compliance. | - Audit of SOC monitoring effectiveness, firewall rule reviews, and privileged access processes. |
Internal Control Assessments | - Validate design and operational effectiveness of controls (logical access, change management, incident response). | - Sample testing: user access review, segregation of duties, control exceptions. |
Incident Handling & Lessons Learned | - Oversight or audit of incident response processes and post-incident improvements. | - Review of root cause analysis reports and closure of corrective action plans. |
Use of Tools and Frameworks | - Familiarity with GRC tools (e.g., Archer, MetricStream) and cyber monitoring platforms. | - Use of Splunk, ServiceNow, or GRC tools to track audit findings or risk mitigation. |
Third-Party Risk Reviews | - Evaluation of outsourcing risks and reviews of third-party security assurance. | - Review of SOC 2 Type II reports, vendor BCP tests, and data processing agreements. |
BCP/DR Oversight | - Evaluate if business units and IT adhere to continuity plans; ensure plans are tested and lessons learned implemented. | - Participate in DR test reviews and validate recovery timeframes (RTO/RPO). |
✅ Preferred Qualifications & Experience Indicators
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Certifications: CISA, CISM, CISSP, CRISC, ISO 27001 LA, CGEIT.
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Experience:
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7–12 years in information security, risk management, or internal audit.
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3–5 years in a second or third line role in BFSI or regulated financial institutions.
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Soft Skills:
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Strong stakeholder management, risk articulation, and regulatory communication.
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Would you like this turned into a CV experience bullet section, regulatory response checklist, or audit preparation playbook?
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Ability to thoroughly investigate and problem solve. · Ability to identify issues and trends to recommend comprehensive solutions and remedies. · Ability to organize and prioritize work and meet deadlines. · Ability to produce senior management reports covering key risk issues, remediation efforts, gaps and analysis.
Here’s a breakdown of the listed competencies, including what each means in a professional risk/security context, and how they can be demonstrated or assessed—especially for roles in cybersecurity, GRC, or IT audit:
✅ Competency Table: Investigation, Problem Solving, Reporting & Prioritization
Competency | Description | How It’s Demonstrated (Examples) |
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Thorough Investigation & Problem Solving | Systematically analyzing incidents, audit findings, or security breaches to find root causes and recommend remediation. | - Root cause analysis of failed firewall control.- Investigation of phishing attack with user behavior analysis. |
Issue & Trend Identification with Remediation | Identifying recurring or systemic risk issues, understanding patterns, and proposing strategic fixes or mitigations. | - Spotting repeated endpoint vulnerabilities across departments and proposing EDR enhancements. |
Organization & Prioritization under Deadlines | Managing multiple risk items or audit tasks by urgency and importance, often across tight timelines. | - Prioritizing 30+ findings in an audit report by risk impact and coordinating cross-functional remediation on time. |
Senior Management Reporting & Analysis | Producing reports that clearly summarize key risks, root causes, gaps, and status of corrective actions in an executive-friendly format. | - Dashboard/report for CIO or CISO on key cybersecurity KPIs, regulatory gaps, and remediation progress. |
๐งฉ Bonus: Sample Output for Each Competency
Competency | Sample Deliverables |
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Investigation | Incident RCA report, SIEM analysis logs, forensic summary |
Trend & Issue Analysis | Monthly trend dashboard, control failure pattern reports |
Work Prioritization | Gantt chart, remediation tracker, prioritized risk matrix |
Senior Management Reporting | Executive risk summary, board pack slide, KRI heatmap |
Would you like a resume bullet version, interview-ready examples, or Excel template to track these deliverables?
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