System Guides

A.5.30 "ICT Readiness for Business Continuity" would include:

1. Business Impact Analysis (BIA) Documentation: Records of the business impact analysis process conducted to identify critical ICT systems, services, and functions necessary for business continuity.

2. Risk Assessment Results: Documentation of the risk assessment process that evaluates potential threats and vulnerabilities to ICT systems and their potential impact on business operations.

3. Business Continuity Plans: Copies of business continuity plans specific to ICT systems, outlining strategies for maintaining operational continuity during disruptions.

4. Disaster Recovery Plans: Documentation of disaster recovery plans for critical ICT systems, detailing steps to restore and recover systems and data in case of disasters.

5. Testing and Exercising Records: Evidence of regular testing and exercises conducted on ICT systems' business continuity and disaster recovery plans to ensure their effectiveness.

6. ICT System Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs): Documentation of established RTOs and RPOs for different ICT systems, indicating how quickly systems should be restored and how much data loss is acceptable.

7. Communication Plans: Documentation of communication plans that outline how communication will be maintained with stakeholders during business disruptions affecting ICT systems.

8. Resource Allocation: Records indicating the allocation of necessary resources such as personnel, technology, and facilities to support ICT system recovery.

9. Backup and Recovery Procedures: Documentation of backup and recovery procedures for ICT systems, including frequency of backups, storage locations, and restoration processes.

10. Alternative Processing Locations: Evidence of established alternative processing locations for critical ICT systems in case the primary location becomes inaccessible.

11. Incident Response Integration: Proof of integration between ICT readiness plans and the organization's overall incident response plan.

12. Testing Documentation: Records of the testing and validation of backup and recovery processes, including logs of successful and unsuccessful tests.

13. Vendor Preparedness: Documentation of how vendors and third-party service providers are included in the organization's ICT readiness plans.

14. Employee Training: Evidence of training programs for employees related to business continuity and disaster recovery procedures for ICT systems.

15. Monitoring and Reporting: Documentation indicating how the organization monitors the health and performance of ICT systems to proactively identify potential disruptions.

16. Escalation Procedures: Documentation outlining escalation procedures for ICT system disruptions, indicating who to contact and when during various stages of recovery.

17. Incident Records: Logs of previous ICT-related incidents, detailing the nature of the incident, response actions taken, and lessons learned.

18. Coordination with Other Departments: Proof of coordination and collaboration between ICT teams and other business units to align business continuity efforts.

19. Updates and Review: Documentation indicating how regularly ICT readiness plans are reviewed, updated, and validated to ensure their relevance and effectiveness.

By examining these pieces of evidence, an auditor can assess whether the organization's ICT systems are adequately prepared to ensure business continuity during disruptions. This includes evaluating the organization's ability to recover systems and data, maintain communication, and minimize downtime.

A.5.2 "Information Security Roles and Responsibilities" would include:

1. Organizational Structure: Documentation illustrating the organizational structure related to information security. This should include roles such as Chief Information Security Officer (CISO), Information Security Manager, Information Security Officer, etc.

2. Job Descriptions: Detailed job descriptions for each information security role, outlining responsibilities, qualifications, required skills, and reporting lines.

3. Role Assignment: Evidence of how information security roles are assigned within the organization and how individuals are selected for these roles based on their qualifications and expertise.

4. Responsibility Matrix: A matrix or chart that clearly outlines the distribution of information security responsibilities among different roles and individuals within the organization.

5. Access Control and Authorization: Documentation of procedures ensuring that employees are granted access only to the information and systems that are relevant to their roles.

6. Training and Certification: Records of training and certifications attained by individuals in information security roles to demonstrate their competency and expertise.

7. Communication Channels: Documentation of communication channels established among individuals in different information security roles, ensuring effective collaboration and coordination.

8. Incident Response Teams: Documentation of incident response teams, including their roles and responsibilities, as well as communication and escalation protocols.

9. Vendor and Third-Party Management: Proof of how information security roles and responsibilities extend to managing vendors and third-party relationships, including ensuring third-party compliance with security requirements.

10. Change Management: Evidence of how information security roles are involved in change management processes, ensuring that security considerations are taken into account when implementing changes.

11. Policy Development: Records of the involvement of information security roles in developing and reviewing information security policies, procedures, and guidelines.

12. Risk Management: Documentation of how individuals in information security roles contribute to risk assessments, risk management strategies, and decision-making.

13. Awareness Programs: Proof of information security roles' involvement in creating and delivering awareness and training programs for employees regarding security policies and practices.

14. Reporting Lines: Documentation indicating where information security roles are positioned in the organizational hierarchy and who they report to.

15. Audit and Compliance: Evidence of information security roles' involvement in auditing and compliance activities to ensure adherence to security standards and regulations.

16. Performance Metrics: Records of how the performance of individuals in information security roles is measured, including metrics related to security incident handling, policy enforcement, and risk reduction.

17. Succession Planning: Documentation showing how the organization plans for the continuity of information security roles, including identifying and training successors.

18. Cross-Functional Collaboration: Proof of how individuals in information security roles collaborate with other departments and roles to integrate security into various business processes.

By examining these pieces of evidence, an auditor can assess whether the organization has clearly defined and effectively implemented information security roles and responsibilities across the organization. This ensures that everyone understands their roles in safeguarding information assets and maintaining a secure environment.