GNCIPL_AI/ML & DATA SCIENCE PROJECTS

 

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:

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🔐 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.

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🧩 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.

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✅ 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.

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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?

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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:

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🔍 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.

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🛠️ 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.

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📄 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.

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✅ 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.

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Would you like a downloadable Excel audit checklist or a template for conducting an IT audit?

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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).

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🔥 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

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✅ 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)?

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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.

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🔐 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

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🔧 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)?

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DLP control testing table format

 Here is a comprehensive Data Loss Prevention (DLP) Control Testing Table format. This can help guide audits or security assessments of your DLP implementation—whether within Microsoft 365, endpoint DLP, or cloud DLP systems.

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🛡️ 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

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✅ 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?

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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.

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🛡️ 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

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🧰 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?

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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.

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🌐 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

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🧰 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.

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🛡️ 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

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🧰 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.

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🤝 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

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📋 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.

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🧷 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).

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✅ Preferred Qualifications & Experience Indicators

• Certifications: CISA, CISM, CISSP, CRISC, ISO 27001 LA, CGEIT.

• Experience:

  • 7–12 years in information security, risk management, or internal audit.

  • 3–5 years in a second or third line role in BFSI or regulated financial institutions.

• Soft Skills:

  • 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:

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✅ Competency Table: Investigation, Problem Solving, Reporting & Prioritization

Competency	Description	How It’s Demonstrated (Examples)
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.

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🧩 Bonus: Sample Output for Each Competency

Competency	Sample Deliverables
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

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Would you like a resume bullet version, interview-ready examples, or Excel template to track these deliverables?