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NERC CIP Information Protection and Document Management Audit Checklist

A comprehensive checklist for auditing information protection measures, document management practices, and compliance with NERC CIP standards in energy and utilities companies, focusing on the security and proper handling of sensitive critical infrastructure information.

NERC CIP Information Protection and Document Management Audit Checklist

by: audit-now
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About This Checklist

The NERC CIP Information Protection and Document Management Audit Checklist is a vital tool for energy and utilities companies to ensure compliance with critical infrastructure protection standards related to sensitive information handling. This comprehensive checklist addresses the information security and documentation requirements of NERC CIP, helping organizations assess and improve their data classification, storage, transmission, and disposal practices. By implementing this checklist, companies can enhance their information protection measures, maintain proper documentation, and ensure the confidentiality and integrity of critical infrastructure information.

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Industry

Energy and Utilities

Standard

NERC CIP - Critical Infrastructure Protection

Workspaces

Control Rooms
Data Centers
Corporate Offices
Storage Facilities

Occupations

Information Security Officer
Records Manager
Compliance Specialist
IT Security Analyst
Legal Counsel
1
Are all documents classified according to the established data classification policy?

Select the appropriate compliance status.

To ensure that sensitive information is properly categorized and handled according to regulations.
2
Is critical infrastructure information stored securely?

Indicate whether secure storage is implemented.

To verify that sensitive information is protected from unauthorized access.
3
What percentage of records meet the retention policy requirements?

Enter the percentage of compliant records.

To assess adherence to records retention policies for compliance.
Min: 0
Target: 100
Max: 100
4
Is there a defined process for information lifecycle management in place?

Select the status of the information lifecycle management process.

To ensure that information is managed throughout its lifecycle in compliance with regulations.
5
Are all disposed documents and media handled according to the secure disposal policy?

Select the appropriate compliance status.

To ensure that sensitive information is irretrievably destroyed to protect against unauthorized access.
6
Have all employees received training on data classification and handling?

Indicate whether training has been completed.

To ensure that employees are knowledgeable about data protection practices.
7
Number of data protection incidents reported in the last year?

Enter the number of incidents reported.

To evaluate the effectiveness of data protection measures and incident reporting.
Min: 0
Target: 0
Max: 100
8
Please provide any additional comments or observations regarding data protection practices.

Enter your comments here.

To gather qualitative feedback on the effectiveness of data protection strategies.
9
Is there an access control policy in place that restricts access to sensitive information?

Select the appropriate compliance status.

To ensure that only authorized personnel can access critical infrastructure information.
10
Have user access rights been reviewed in the past 12 months?

Indicate whether a review has been conducted.

To verify that user access rights are current and appropriate for their roles.
11
How many data integrity audits have been conducted in the last year?

Enter the number of audits conducted.

To assess the frequency of audits aimed at ensuring data accuracy and consistency.
Min: 0
Target: 4
Max: 12
12
What challenges have you encountered with access control measures?

Detail any challenges here.

To identify areas for improvement in access control practices.
13
Is there an incident response plan documented and accessible?

Select the status of the incident response plan.

To ensure that there are procedures in place for responding to data breaches and incidents.
14
Are regular incident response drills conducted to prepare for data breaches?

Indicate whether drills are conducted regularly.

To verify that the organization is prepared to respond effectively to data incidents.
15
What is the average time taken to resolve data protection incidents?

Enter the average resolution time in hours.

To evaluate the efficiency of the incident response process.
Min: 0
Target: 24
Max: 72
16
What lessons have been learned from past data protection incidents?

Share any lessons learned here.

To improve future incident response and data protection strategies.
17
Is there an encryption policy in place for sensitive data at rest and in transit?

Select the status of the encryption policy.

To ensure that data is adequately protected against unauthorized access.
18
Are regular security audits conducted to assess data protection measures?

Indicate whether regular security audits are conducted.

To verify that ongoing assessments are performed to ensure compliance and security.
19
How many access control violations have been reported in the last year?

Enter the total number of violations reported.

To assess the effectiveness of access control measures in place.
Min: 0
Target: 2
Max: 100
20
What suggestions do you have for improving data security measures?

Provide your suggestions here.

To gather feedback for enhancing data protection strategies.

FAQs

The checklist covers information classification, access controls, secure storage and transmission, retention policies, disposal procedures, and documentation practices for critical cyber asset information.

It provides a structured approach to evaluating information handling practices, ensuring sensitive data is properly classified, protected, and managed throughout its lifecycle in compliance with NERC CIP standards.

The audit should involve information security officers, records management specialists, compliance officers, IT personnel, and legal representatives to ensure comprehensive coverage of all relevant areas.

While formal NERC audits occur every three years, it's recommended to conduct internal information protection and document management audits annually, with ongoing monitoring of information handling practices.

The checklist helps companies systematically evaluate their information protection measures and documentation practices, ensure compliance with NERC CIP standards, and maintain the confidentiality, integrity, and availability of critical infrastructure information.

Benefits of NERC CIP Information Protection and Document Management Audit Checklist

Ensures compliance with NERC CIP information protection and documentation requirements

Improves the management and security of sensitive information related to critical infrastructure

Helps identify and address gaps in information handling and storage practices

Reduces the risk of data breaches and unauthorized access to critical information

Facilitates consistent and organized documentation practices across the organization