Framework Category

Roles, Responsibilities, and Authorities

Roles, Responsibilities, and Authorities ensures that cybersecurity is driven by accountable leadership, supported by clearly defined and communicated roles.

It promotes a risk-aware culture, aligns resource allocation with cybersecurity priorities, and integrates cybersecurity into HR practices.

Implementation Questions

GV.RR-01

Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving

Have organizational leaders formally documented and agreed upon their specific roles and responsibilities for cybersecurity strategy development, implementation, and assessment?

Clear definition and agreement of cybersecurity roles at the leadership level ensures accountability, prevents gaps in security oversight, and establishes governance for the entire security program. When leadership responsibilities are well-defined, organizations can more effectively respond to security incidents and maintain consistent security practices across departments.

Does leadership actively communicate expectations for a secure and ethical culture, particularly leveraging current events as teaching opportunities?

Tone from the top is what's being assessed, namely whether leadership actively communicates expectations for a secure, ethical culture and uses current events as teaching moments. When leaders discuss security incidents in the news or highlight team members demonstrating good security practices, it reinforces that security is a priority and helps employees understand practical applications of security policies.

Does your organization have a comprehensive cybersecurity risk strategy that is reviewed and updated at least annually and after significant security events?

A comprehensive cybersecurity risk strategy provides the foundation for an organization's security posture by establishing priorities, resource allocation, and response protocols.

Does your organization conduct regular reviews to verify that individuals responsible for managing cybersecurity risk have appropriate authority and coordination mechanisms?

Reviewers want evidence that the people accountable for cybersecurity risk hold the right authority and that regular reviews confirm effective coordination among them. Without proper authority, security personnel may be unable to implement necessary controls or respond to incidents effectively. Similarly, poor coordination can lead to security gaps, duplicated efforts, or inconsistent security practices across the organization.

GV.RR-02

Roles, responsibilities, and authorities related to cybersecurity risk management are established, communicated, understood, and enforced

Has your organization documented risk management roles and responsibilities in a formal policy?

Clearly defined risk management roles and responsibilities ensure accountability and establish a structured approach to identifying, assessing, and mitigating security risks. Without documented responsibilities, critical security tasks may be overlooked or duplicated, leading to inefficiencies and potential security gaps. Formal documentation helps maintain consistency in risk management practices even during staff changes.

Has your organization formally documented the roles and responsibilities for cybersecurity risk management, including RACI (Responsible, Accountable, Consulted, Informed) designations?

Accountability for cyber risk is the focus, asking whether you have formally documented cybersecurity risk management roles and responsibilities, including RACI designations. Without clear ownership and communication channels, critical security tasks may fall through the cracks, leading to unaddressed vulnerabilities and confusion during security incidents.

Are cybersecurity responsibilities and performance requirements explicitly included in job descriptions and personnel documentation?

Accountability through documentation is what's assessed, meaning whether cybersecurity duties and performance expectations are written explicitly into job descriptions and personnel records. By embedding security responsibilities in job descriptions, organizations establish that cybersecurity is part of regular job functions rather than an optional activity, and create measurable performance criteria related to security practices.

Have you established documented performance goals for personnel with cybersecurity risk management responsibilities and implemented a process to measure their performance against these goals?

Accountability for cybersecurity risk managers is the focus here, covering whether you set documented performance goals and measure staff against them. Establishing measurable goals creates accountability and helps identify skill gaps or areas where additional training or resources may be needed.

Has your organization formally documented and communicated cybersecurity responsibilities across operations, risk management, and internal audit functions?

Clear ownership of security duties is the focus here: whether you have formally documented and communicated cybersecurity responsibilities across operations, risk management, and internal audit so no gaps go unowned.

GV.RR-03

Adequate resources are allocated commensurate with the cybersecurity risk strategy, roles, responsibilities, and policies

Does your organization conduct periodic management reviews to verify that personnel with cybersecurity risk management responsibilities have appropriate authority to fulfill their duties?

Periodic management review is the subject, specifically whether your organization regularly checks that staff with cybersecurity responsibilities hold enough authority to carry out their duties. Without proper authority, security teams may identify risks but lack the ability to implement necessary controls or influence business decisions, creating a gap between security requirements and actual implementation.

Has your organization established a documented process for allocating resources and investments based on your defined risk tolerance and response strategies?

Resource allocation is the subject: whether you have a formal method for directing budget, people, and technology toward security risks based on your defined risk tolerance. Effective resource allocation ensures that higher-risk areas receive appropriate investment while maintaining alignment with the organization's risk appetite and business objectives.

Has your organization allocated sufficient resources (people, processes, and technology) to effectively implement and maintain your cybersecurity strategy?

Resourcing your security strategy is what's being assessed across three dimensions: whether you have allocated sufficient people, processes, and technology to carry it out.

GV.RR-04

Cybersecurity is included in human resources practices

Has your organization integrated cybersecurity risk management into all phases of the employee lifecycle (screening, onboarding, role changes, and offboarding)?

Integrating cybersecurity risk management into HR processes helps ensure security considerations are addressed throughout an employee's tenure. This includes conducting background checks during hiring, providing security training during onboarding, updating access privileges during role changes, and ensuring complete access revocation during offboarding. These practices help prevent insider threats, data breaches, and unauthorized access.

Does your organization consider cybersecurity knowledge as a factor in hiring, training, and employee retention decisions?

Organizations that value cybersecurity knowledge in their workforce tend to build stronger security cultures and have employees who make better security decisions. By considering cybersecurity aptitude during hiring, you can ensure new team members have baseline security awareness. Including security in training programs and performance evaluations reinforces its importance and encourages continuous improvement in security practices.

Does your organization conduct background checks for personnel in sensitive roles both during initial onboarding and periodically throughout their employment?

Background checks help identify potential security risks by verifying an individual's identity, criminal history, education, employment history, and other relevant information before granting access to sensitive systems or data. Periodic re-screening is important as people's circumstances change over time, potentially introducing new risks that weren't present during initial hiring.

Does your organization have a formal process to ensure personnel are aware of, acknowledge, and comply with security policies relevant to their roles?

Policy awareness and accountability are what's under review: whether you have a formal way to ensure personnel know, acknowledge, and follow the security policies tied to their roles. Effective security awareness programs ensure employees understand what security policies apply to them and how they should implement them in their daily work activities.