ISO 27001 Security Incident Register Excel Template

Introduction

Organizations face information security incidents of varying severity on a regular basis. For businesses that have adopted or are considering adopting the ISO 27001 standard, having an efficient procedure for managing these incidents is critical. While large enterprises might be able to invest in a comprehensive Security Information and Event Management (SIEM) system, smaller organizations and those just starting to use ISO 27001 often find an Excel-based solution much more accessible.

This article will examine why an organization that complies with ISO 27001 needs a Security Incident Register, discuss why such a register in Excel is a convenient solution, and identify the details that it needs to contain.

Why an Incident Register is Critical for ISO 27001 Compliance?

ISO 27001 is the world’s most popular standard for managing information security. It contains a list of controls designed to help organizations operate their ISMS processes efficiently. Managing information security incidents is one of the most crucial aspects of any ISMS.

Annex A of ISO 27001 contains a number of controls related to the management of incidents. Some of these controls include

• A.5.24 Information security incident management: specifies that the organization shall manage information security incidents and improvements.
  
  

• A.8.15 Logging and monitoring defines that the organization shall implement processes for logging and monitoring.
  
  

• A.16.1 Management of information security incidents and improvements: clarifies that the organization shall establish and document procedures for responding to incidents. Therefore, having a properly designed register of security incidents is vital for any organization that complies with ISO 27001.

As can be seen, all of the above controls highlight the importance of an organized response to information security incidents. Having an up-to-date record of all relevant data regarding each incident is one of the best ways to ensure that the standards are followed.

Thus, a Security Incident Register is a logbook of all security-related incidents that allow one to keep track of the company’s security status.

Benefits of Using an Excel-Based Incident Register Template

Despite the need for proper security incident management, most small organizations do not invest in an advanced SIEM because they do not have the resources to accommodate such expenses.

The use of an Excel-based solution can be beneficial in the following ways:

• General accessibility: Anyone who has basic Excel skills can use this solution because it is intuitive and easy to use.
  
  

• Cost: This is a completely free tool for organizations with Excel subscriptions, making it much more affordable than SIEM systems.
  
  

• Customization: Excel gives the full scope of personalization and customization, which allows one to modify the workbook according to the needs of the organization.
  
  

• Versatility: In many cases, simply filling out a table in Excel is enough for managing and analyzing the data. For smaller companies, this tool is much more than sufficient.
  
  

• Audit: An Excel file can serve as a reliable source of information during an ISO 27001 or GDPR audit, as it contains all the details of the incident, the response to it, and the corrective and preventative action, if any.

Fields of the ISO 27001 Security Incident Register Excel

Depending on the specific needs of the business, the fields that need to be filled out in the workbook can vary. The table below shows the relevant data needed to analyze and respond to an incident:

Identification/reporting

• Incident ID: An unique reference number for the particular security incident. This would allow faster and more organized processing of the information.
  
  

• Date/time of discovery: The date and time when the incident was discovered.
  
  

• Date/time of report: The date and time when the incident was reported.
  
  

• Reporter name: The name of the reporter and their department.
  
  

• Reporting method: The channel through which the information about the incident was reported.

Description

• Incident category: The category of the incident. There are several categories of incidents, namely: Malware, Phishing, Data breach, System outage, Unauthorized access, Denial of Service, Physical security breach, etc. It is recommended that this field be a drop-down list, which would be easier to fill out.
  
  

• Description of the incident: Brief description of the nature of the event, its location and method of discovery. If necessary, additional information about related security incidents can be indicated here.
  
  

• Affected assets: A list of all assets involved in the incident: systems, applications, data, physical assets, etc.
  
  

• Affected parties: A list of all affected parties: internal and external stakeholders, customers, vendors, etc.

Impact/severity

• Impact assessment (C-I-A): An assessment of the impact on Confidentiality, Integrity, and Availability of the company’s information. In this field, one can describe whether unauthorized disclosure, modification, or disruption has occurred.

• Severity/priority: A severity level from Low to Critical. Additionally, it is possible to indicate the priority of the incident, based on the assessment of its impact on the organization.

• Business impact assessment: An evaluation of the impact of the incident on the business. It could also be indicated how much damage the security incident has caused. This field can be numerical or alphabetic.

Response/resolution

• Response – containment: The actions taken to prevent further damage or data loss.

• Response – eradication: The actions taken to eliminate the cause of the incident.

• Response – recovery: The actions taken to restore the business to normal functioning.

• Responsible party: The party responsible for resolving the incident.

• Date/time of resolution: The date and time when the incident was resolved.

• Resolved by: The name of the individual or team that resolved the incident.

• Status: The status of the incident (e.g., Open, Escalated, In Progress, On Hold, Closed).

Post-incident analysis

• Root cause: The root cause of the incident.

• Lessons learned: Summary of the main conclusions after the incident occurred.

• Preventative action: Corrective and preventative action that needs to be taken.

• Follow-up action: Any other action needed after the incident is resolved.

Evidence/communication

• Evidence: Evidence collected for the investigation.

• Communication: Records of any communication related to the incident, e.g., GDPR breach notification, internal and external communication, etc.

• Review date/reviewer: The date of the post-incident review and the name of the person reviewing the incident.

The table shown above is a basic structure of an ISO 27001 Security Incident Register Excel sheet. After identifying the most important fields, one should think about how to fill in the information for each of them.

Using an Incident Register for ISO 27001 Compliance

As mentioned above, a Security Incident Register assists an organization in several key areas. Below are the main benefits of implementing such a system.

Evidence during ISO 27001 audits

One of the most common uses of an incident register is as evidence during ISO 27001 or other standard audits. During such an audit, the auditors will request the document to see if the procedures described in the standard are followed.

Analysis of information security incidents

Another benefit of using an incident register is that it helps the organization analyze the incidents that have occurred. Incidents that occurred previously can be used as training samples for employees to prepare them for similar situations in the future.

Identifying trends and problem areas

In addition, using the register, it becomes much easier to identify areas that require improvement. By identifying patterns, the company can better understand what types of attacks are the most common and which security controls need the most reinforcement.

Continuous improvement

As mentioned above, one of the main aspects of ISO 27001 is continuous improvement. The information contained in the register can be used to improve the organization’s ISMS processes continually.

Legal/Regulatory compliance

Finally, an additional benefit of using an incident register is that it helps the organization to remain compliant with relevant laws and regulations. Many regulations require organizations to report data breaches or other security incidents. The information in the register can be used to prepare the necessary reports.

Using the ISO 27001 Security Incident Register

The use of any Excel-based solution requires some basic knowledge of working with this application. Having said that, the use of an ISO 27001 Security Incident Register is usually uncomplicated and intuitive. Nevertheless, there are several recommendations that need to be followed when using such an instrument.

1. First, it is essential to define the necessary procedures and report writing instructions.
   
   

2. The next step is to designate an appropriate place to store the Excel file with the register. For example, it could be a shared folder in a network or a cloud storage. It is of particular importance to ensure that only authorized persons have access to this document.
   
   

3. In addition, it is necessary to update this workbook in a timely manner. It is recommended that the document be updated as soon as possible after the incident occurs and all relevant information has been collected.
   
   

4. Another important point is to train the personnel that will be responsible for filling out the register.
   
   

5. Finally, a system for regularly backing up this data needs to be established.
   
   

6. It is also useful to have periodic reviews of the entire book to analyze the changes and see if the preventative actions taken have had the desired effect.
   
   

7. If several people are going to update the workbook, it is necessary to equip the document with the necessary tools for version control.

Conclusion

An ISO 27001 Security Incident Register Excel is a convenient tool that allows organizations to keep track of all security incidents that occur. By defining the details of the event, taking corrective and preventative actions, the company will be able to continuously improve its ISMS and comply with ISO 27001 standards.