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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?

Select the status of the background check process.

To ensure all personnel are properly vetted to mitigate insider threats.
2
Have all personnel completed security awareness training?

Select the training completion status.

Training is essential for ensuring personnel are aware of security threats and protocols.
3
Describe the security awareness training program provided to personnel.

Provide details about the training program.

To assess the content and effectiveness of the training program.
4
How often is security awareness training conducted for personnel?

Enter the frequency of training in months.

To ensure regular updates and refreshers are provided to maintain awareness.
Min: 1
Target: 1
Max: 12
5
Is role-based training provided to personnel based on their access levels?

Select the compliance status for role-based training.

To ensure that personnel receive training relevant to their responsibilities and access to critical infrastructure.
6
Is there an established insider threat mitigation plan?

Indicate if an insider threat mitigation plan exists.

To ensure there are strategies in place to address potential insider threats.
7
Is the access control policy reviewed and updated regularly?

Select the status of the access control policy review.

Regular reviews ensure that access control policies are effective and up-to-date.
8
Describe the process for granting access to critical systems.

Provide a detailed description of the access request process.

To understand how access is managed and ensure it aligns with security protocols.
9
What is the average time taken to approve access requests?

Enter the average approval time in days.

To evaluate the efficiency of the access management process.
Min: 1
Target: 3
Max: 30
10
Is there a documented process for revoking access when no longer needed?

Select the compliance status of the access revocation process.

To ensure that access is promptly revoked to minimize security risks.
11
Is multi-factor authentication implemented for access to critical systems?

Indicate if multi-factor authentication is in place.

To enhance security by ensuring that access requires more than one form of verification.
12
How often are access audits conducted?

Select the frequency of access audits.

Regular audits are crucial for identifying and addressing potential access control issues.
13
Is there a mandatory training requirement for recognizing insider threats?

Select the training requirement status.

Ensuring personnel are trained to recognize potential insider threats is vital for security.
14
Describe the organization's response plan for potential insider threats.

Provide a detailed description of the response plan.

To assess how well-prepared the organization is to address potential insider threats.
15
How often are assessments for insider threats conducted?

Enter the frequency of assessments in months.

Regular assessments are crucial for identifying vulnerabilities related to insider threats.
Min: 1
Target: 6
Max: 12
16
Is there a mechanism in place for reporting suspected insider threats?

Select the status of the incident reporting mechanism.

A clear reporting mechanism is essential for timely responses to potential threats.
17
Are regular drills conducted to prepare staff for insider threat scenarios?

Indicate if regular drills are conducted.

Conducting drills helps ensure staff are prepared to handle insider threat situations effectively.
18
List any recent incidents related to insider threats and the response taken.

Provide details about recent insider threat incidents.

To evaluate the organization's history of insider threats and effectiveness of responses.
19
Are all personnel compliant with established workforce security protocols?

Select the compliance status for workforce security protocols.

Ensuring compliance with security protocols is essential for protecting critical infrastructure.
20
Describe the procedures for responding to security incidents involving personnel.

Provide details regarding the security incident response procedures.

To evaluate the effectiveness and clarity of incident response procedures.
21
What is the average time taken to resolve security incidents?

Enter the average resolution time in days.

To assess the efficiency of the organization's incident response capabilities.
Min: 1
Target: 5
Max: 30
22
Are personnel assigned appropriate security clearance levels based on their roles?

Select the status of personnel security clearance assignments.

Proper clearance levels are vital for safeguarding sensitive information and access.
23
Is there ongoing security training provided to all personnel?

Indicate if ongoing security training is provided.

Continuous training is essential to keep personnel informed about security threats and procedures.
24
List any recent changes made to security protocols affecting personnel.

Provide details about recent changes to security protocols.

To ensure personnel are aware of and trained on the latest security protocols.
25
Are personnel required to undergo training specific to critical infrastructure protection?

Select the status of training requirements for critical infrastructure protection.

Training specific to critical infrastructure is necessary to ensure personnel are adequately prepared.
26
Provide an overview of the measures in place for protecting critical infrastructure.

Describe the critical infrastructure protection measures.

Understanding the protection measures helps evaluate the organization's readiness against threats.
27
How many drills related to critical infrastructure protection have been conducted in the past year?

Enter the number of drills conducted in the last year.

Regular drills help ensure preparedness and effectiveness in responding to potential threats.
Min: 0
Target: 4
Max: 20
28
How often is the incident response plan for critical infrastructure reviewed?

Select the review frequency of the incident response plan.

Regular reviews of the incident response plan ensure it remains effective and relevant.
29
Is there an integration of physical security and cybersecurity training for personnel?

Indicate if both physical and cybersecurity training are integrated.

Integrating both types of training enhances overall security awareness and preparedness.
30
What lessons have been learned from recent incidents affecting critical infrastructure?

Provide insights gained from recent incidents.

Analyzing past incidents helps improve future training and response strategies.

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