+Policy Familiarization & Acknowledgement

Policy Familiarization & Acknowledgement

Description

Mechanisms exist to ensure personnel receive recurring familiarization with the organization's security, compliance and resilience policies and provide acknowledgement.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Formal onboarding training
∙ Written policy acknowledgement

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Formal onboarding training
∙ Written policy acknowledgement

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Formal onboarding training
∙ Written policy acknowledgement

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Formal onboarding training
∙ Written policy acknowledgement

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Formal onboarding training
∙ Written policy acknowledgement

SCR-CMM

Level 0 Not Performed

Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.

Level 1 Performed Informally

SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.

Level 2 Planned Tracked

Human Resources Security (HRS) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with HRS domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with HRS domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with HRS domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Personnel management-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Personnel management is decentralized at a localized/regionalized function, where there are non-standardized methods to govern personnel matters across the organization.
▪ Localized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization.

Level 3 Well Defined

Human Resources Security (HRS) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with HRS domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with HRS domain capabilities are well-documented and kept current by process owners.
▪ A Human Resources (HR) team, or similar function, is appropriately staffed and supported to implement and maintain HRS domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of human resources security operations (e.g., personnel management software solution).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with HRS domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ An implemented and operational capability exists to ensure personnel receive recurring familiarization with the organization's security, compliance and resilience policies and provide acknowledgement.

Level 4 Quantitatively Controlled

Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.

Level 5 Continuously Improving

Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.

1. Přehled

1.1 Odkazy

1.2 Identifikované požadavky

1.3 Související regulace

2. Identifikované požadavky

Požadavky

3. Související regulace

Regulace
EULAW Článek 19 Politika v oblasti lidských zdrojů

Článek 19

Politika v oblasti lidských zdrojů

Finanční subjekty zahrnou do své politiky v oblasti lidských zdrojů nebo jiných příslušných politik všechny následující prvky související s bezpečností IKT:

a) 

určení a přidělení konkrétních povinností v oblasti bezpečnosti IKT;

b) 

požadavky na zaměstnance finančního subjektu a poskytovatele služeb IKT z řad třetích stran, kteří používají aktiva v oblasti IKT finančního subjektu nebo k nim mají přístup:

i) 

aby byli informováni o bezpečnostních zásadách, postupech a protokolech finančního subjektu souvisejících s IKT a dodržovali je;

ii) 

aby znali kanály pro podávání zpráv, které finanční subjekt zavedl pro detekci neobvyklého chování, včetně případných kanálů pro podávání zpráv zřízených v souladu se směrnicí Evropského parlamentu a Rady (EU) 2019/1937 ( 1 );

iii) 

v případě zaměstnanců, aby po ukončení pracovního poměru vrátili finančnímu subjektu veškerá aktiva v oblasti IKT a hmotná informační aktiva, která mají v držení a která patří finančnímu subjektu.

Propojené úkoly

Vazby
is related to Annual
is related to relative Control Weighting = 08
is related to People
is related to Identify
is related to SCRM Focus Tier 2 OPERATIONAL
blocks Loss of Accountability / Attribution
blocks System / Data Compromise (Non-Technical Vector)
blocks Regulatory / Legal / Contractual Financial Liability
blocks Failure to Achieve Strategic / Mission Objectives
blocks Fraud / Theft / Direct Financial Loss
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Harm from Illegal, Abusive or Unsafe Content / Conduct
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Lack of a security-minded workforce
blocks Privacy Harm / Unauthorized Processing
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks HR-02.04B
blocks HR-02.05B
blocks AM-08.01B
blocks Loss of Accountability / Attribution
blocks System / Data Compromise (Non-Technical Vector)
blocks Regulatory / Legal / Contractual Financial Liability
blocks Failure to Achieve Strategic / Mission Objectives
blocks Fraud / Theft / Direct Financial Loss
blocks Unperformed / Unowned Control Responsibilities
blocks Uncontrolled Internal Security / Privacy Exposure
blocks Harm from Illegal, Abusive or Unsafe Content / Conduct
blocks Inability to Demonstrate Due Diligence / Due Care
blocks Lack of a security-minded workforce
blocks Privacy Harm / Unauthorized Processing
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Dysfunctional Management Practices
blocks Human Error
blocks Statutory / Regulatory / Contractual Change
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Economic Shock / Market Disruption
blocks Workforce Shortage / Loss of Critical Skills / Labor Disruption
blocks HR-02.04B
blocks HR-02.05B
blocks AM-08.01B
is blocked by HRS-08.2 Policy Familiarization & Acknowledgement – Assessment Procedure
blocks 03.15.03 Rules of Behavior
blocks GV.PO Policy
blocks GV.PO-01 Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated …
blocks GV.PO-02 Policy for managing cybersecurity risks is reviewed, updated, communicated, and enforced to reflect changes in requirements, threats, technology, and …
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