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NERC CIP Personnel and Training Audit Checklist

A comprehensive checklist for auditing personnel security measures, training programs, and compliance with NERC CIP standards in energy and utilities companies, focusing on workforce management and security awareness.

NERC CIP Personnel and Training Audit Checklist

by: audit-now
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About This Checklist

The NERC CIP Personnel and Training Audit Checklist is an indispensable tool for energy and utilities companies to ensure compliance with critical infrastructure protection standards related to workforce management. This comprehensive checklist addresses the personnel security and training requirements of NERC CIP, helping organizations assess and improve their hiring practices, access management, security awareness programs, and ongoing training initiatives. By implementing this checklist, companies can enhance their human-centric security measures, reduce insider threats, and maintain a well-trained workforce capable of protecting critical infrastructure.

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Industry

Energy and Utilities

Standard

NERC CIP - Critical Infrastructure Protection

Workspaces

Control Rooms
Training Centers
Corporate Offices
Remote Work Environments

Occupations

Human Resources Manager
Security Training Coordinator
Compliance Officer
IT Security Manager
Workforce Development Specialist
1
Is there a documented process for conducting background checks on personnel with access to critical infrastructure?
2
Have all personnel completed security awareness training?
3
Describe the security awareness training program provided to personnel.
4
How often is security awareness training conducted for personnel?
Min: 1
Target: 1
Max: 12
5
Is role-based training provided to personnel based on their access levels?
6
Is there an established insider threat mitigation plan?
7
Is the access control policy reviewed and updated regularly?
8
Describe the process for granting access to critical systems.
9
What is the average time taken to approve access requests?
Min: 1
Target: 3
Max: 30
10
Is there a documented process for revoking access when no longer needed?
11
Is multi-factor authentication implemented for access to critical systems?
12
How often are access audits conducted?
13
Is there a mandatory training requirement for recognizing insider threats?
14
Describe the organization's response plan for potential insider threats.
15
How often are assessments for insider threats conducted?
Min: 1
Target: 6
Max: 12
16
Is there a mechanism in place for reporting suspected insider threats?
17
Are regular drills conducted to prepare staff for insider threat scenarios?
18
List any recent incidents related to insider threats and the response taken.
19
Are all personnel compliant with established workforce security protocols?
20
Describe the procedures for responding to security incidents involving personnel.
21
What is the average time taken to resolve security incidents?
Min: 1
Target: 5
Max: 30
22
Are personnel assigned appropriate security clearance levels based on their roles?
23
Is there ongoing security training provided to all personnel?
24
List any recent changes made to security protocols affecting personnel.
25
Are personnel required to undergo training specific to critical infrastructure protection?
26
Provide an overview of the measures in place for protecting critical infrastructure.
27
How many drills related to critical infrastructure protection have been conducted in the past year?
Min: 0
Target: 4
Max: 20
28
How often is the incident response plan for critical infrastructure reviewed?
29
Is there an integration of physical security and cybersecurity training for personnel?
30
What lessons have been learned from recent incidents affecting critical infrastructure?

FAQs

The checklist covers personnel risk assessment, access management, security awareness training, role-specific training, and ongoing education requirements for employees with access to critical cyber assets.

It provides a structured approach to evaluating hiring practices, background checks, access revocation procedures, and training programs, ensuring all personnel-related security measures are robust and compliant.

The audit should involve HR professionals, security managers, compliance officers, training coordinators, and IT security personnel to ensure comprehensive coverage of all relevant areas.

While formal NERC audits occur every three years, it's recommended to conduct internal personnel and training audits annually, with ongoing monitoring of training completion and access rights.

The checklist helps companies systematically evaluate their personnel security measures and training programs, ensure compliance with NERC CIP standards, and maintain a well-trained, security-conscious workforce capable of protecting critical infrastructure.

Benefits of NERC CIP Personnel and Training Audit Checklist

Ensures compliance with NERC CIP personnel and training requirements

Improves the effectiveness of security awareness and training programs

Helps identify and address gaps in personnel security measures

Reduces the risk of insider threats through proper vetting and access management

Facilitates consistent documentation of personnel-related compliance efforts