+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. Przegląd

1.1 Odwołania

1.2 Zidentyfikowane wymagania

1.3 Powiązane regulacje

2. Zidentyfikowane wymagania

Wymagania

3. Powiązane regulacje

Regulacje
EULAW Artykuł 19 Polityka kadrowa

Artykuł 19

Polityka kadrowa

Podmioty finansowe uwzględniają w swojej polityce kadrowej lub innych odpowiednich politykach wszystkie następujące elementy związane z bezpieczeństwem ICT:

a) 

określenie i powierzenie wszelkich szczególnych obowiązków w zakresie bezpieczeństwa ICT;

b) 

zobowiązanie pracowników podmiotu finansowego i zewnętrznych dostawców usług ICT korzystających z zasobów ICT podmiotu finansowego lub uzyskujących dostęp do tych zasobów do:

(i) 

zaznajomienia się z politykami, procedurami i protokołami podmiotu finansowego w zakresie bezpieczeństwa ICT i przestrzegania tych polityk, procedur i protokołów;

(ii) 

dysponowania wiedzą na temat kanałów dokonywania zgłoszeń ustanowionych przez podmiot finansowy na potrzeby wykrywania nietypowych zachowań, uwzględniając, w stosownych przypadkach, kanały dokonywania zgłoszeń ustanowione zgodnie z dyrektywą Parlamentu Europejskiego i Rady (UE) 2019/1937 ( 1 );

(iii) 

w przypadku pracowników, po rozwiązaniu stosunku pracy – zwrócenia podmiotowi finansowemu wszystkich zasobów ICT oraz materialnych zasobów informacyjnych znajdujących się w ich posiadaniu i będących własnością podmiotu finansowego.

Powiązane zgłoszenia

Powiązania
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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