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NERC CIP Incident Response and Recovery Audit Checklist

A comprehensive checklist for auditing incident response capabilities, recovery planning, and compliance with NERC CIP standards in energy and utilities companies, focusing on effectively managing and recovering from cybersecurity incidents that could impact critical infrastructure.

NERC CIP Incident Response and Recovery Audit Checklist

by: audit-now
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About This Checklist

The NERC CIP Incident Response and Recovery Audit Checklist is a crucial tool for energy and utilities companies to ensure compliance with critical infrastructure protection standards related to cybersecurity incidents and system recovery. This comprehensive checklist addresses the incident response, reporting, and recovery planning requirements of NERC CIP, helping organizations assess and improve their readiness to detect, respond to, and recover from cybersecurity incidents. By implementing this checklist, companies can enhance their incident management capabilities, minimize downtime, and ensure rapid and effective response to potential threats to critical infrastructure.

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Industry

Energy and Utilities

Standard

NERC CIP - Critical Infrastructure Protection

Workspaces

Control Rooms
Data Centers
Emergency Services
Secure Facilities

Occupations

Cybersecurity Incident Response Specialist
IT Disaster Recovery Manager
Compliance Officer
Operations Manager
Communications Coordinator
1
Is there a robust incident detection mechanism in place?

Select compliance status.

To ensure that potential incidents are identified promptly for effective response.
2
Briefly describe the incident response procedures in place.

Provide a detailed description.

To evaluate the comprehensiveness of the incident response plan.
3
What is the average response time to incidents in minutes?

Enter the average response time.

To assess the efficiency of incident response efforts.
Min: 0
Target: 15
Max: 120
4
Is post-incident analysis conducted after each incident?

Select analysis completion status.

To ensure lessons learned are documented and used for improvement.
5
Have the system restoration procedures been reviewed and updated recently?

Select the status of the system restoration procedures.

To ensure that recovery procedures are current and effective in restoring systems post-incident.
6
How often are backups performed (in hours)?

Enter the backup frequency in hours.

To assess the adequacy of backup frequency in relation to recovery objectives.
Min: 1
Target: 24
Max: 72
7
Describe the training provided to the incident response team.

Provide details on training programs.

To evaluate the preparedness and capability of the team in handling incidents.
8
Is the incident response and recovery process compliant with regulatory requirements?

Select the compliance status.

To confirm adherence to necessary regulatory standards.
9
Are the incident reporting protocols followed consistently?

Select the compliance status of reporting protocols.

To ensure that incidents are reported in a timely and standardized manner.
10
When was the last incident reported?

Select the date of the last incident report.

To track the frequency of incidents and ensure timely reporting.
11
Provide a summary of the incident analysis conducted.

Provide a detailed summary of the analysis.

To document findings and improve future incident response strategies.
12
How many incidents have occurred in the past year?

Enter the total number of incidents.

To assess the incident frequency and identify trends.
Min: 0
Target: 10
Max: 100
13
What is the current preparedness level for handling cyber incidents?

Select the preparedness level.

To evaluate the organization's readiness to respond to cyber incidents effectively.
14
Is the incident response plan readily available to the team?

Indicate if the plan is available.

To ensure that the team can access the plan during an incident for effective response.
15
What is the defined Recovery Time Objective (RTO) in hours?

Enter the RTO in hours.

To measure the organization's target time to restore services after an incident.
Min: 0
Target: 4
Max: 48
16
Describe any incident simulation exercises conducted in the last year.

Provide details of simulation exercises.

To assess the effectiveness of training and preparedness through simulation.
17
Have all critical infrastructure components been identified and documented?

Select the identification status.

To ensure that all vital assets are recognized for protection and response planning.
18
How often are vulnerability assessments conducted on critical infrastructure (in months)?

Enter the frequency of assessments in months.

To ensure regular assessments are in place to identify and mitigate risks.
Min: 1
Target: 6
Max: 12
19
Has the emergency response plan been tested in the last year?

Indicate if the plan was tested.

To confirm the effectiveness of the emergency response procedures.
20
Describe the process for conducting post-incident reviews.

Provide details of the review process.

To evaluate how incidents are analyzed for future improvement.

FAQs

The checklist covers incident detection mechanisms, response procedures, reporting protocols, communication plans, recovery strategies, system restoration processes, and post-incident analysis and documentation.

It provides a structured approach to evaluating incident response and recovery practices, ensuring that organizations have robust plans, tools, and processes in place to effectively manage cybersecurity incidents in compliance with NERC CIP standards.

The audit should involve cybersecurity incident response teams, IT disaster recovery specialists, compliance officers, operations managers, and communications personnel to ensure comprehensive coverage of all relevant areas.

While formal NERC audits occur every three years, it's recommended to conduct internal incident response and recovery audits annually, with tabletop exercises and simulations performed quarterly to test and refine procedures.

The checklist helps companies systematically evaluate their incident response and recovery capabilities, ensure compliance with NERC CIP standards, and maintain a state of readiness to effectively manage and recover from cybersecurity incidents that could impact critical infrastructure.

Benefits of NERC CIP Incident Response and Recovery Audit Checklist

Ensures compliance with NERC CIP incident response and recovery requirements

Improves organizational readiness to handle cybersecurity incidents effectively

Helps identify and address gaps in incident response and recovery processes

Reduces the potential impact of cybersecurity incidents on critical infrastructure

Facilitates consistent and well-coordinated incident management across the organization