LAW FIRM CYBERSECURITY POLICY

POLICY INFORMATION

SECTION 1: PURPOSE AND SCOPE

1.1 Purpose

This Cybersecurity Policy establishes requirements and procedures to:

☐ Protect client confidential information and attorney-client privileged communications

☐ Comply with ethical obligations under ABA Model Rules and state bar requirements

☐ Prevent unauthorized access to firm systems and data

☐ Establish security standards for all technology use

☐ Define incident response procedures for security events

☐ Meet regulatory and contractual security requirements

1.2 Scope

This policy applies to:

☐ All attorneys, staff, and contractors of the firm

☐ All firm-owned devices, systems, and networks

☐ Personal devices used for firm business (BYOD)

☐ All data stored, processed, or transmitted by the firm

☐ All third-party vendors with access to firm systems or data

☐ Remote work and travel situations

1.3 Ethical Foundation

Under ABA Model Rule 1.6(c), lawyers must make "reasonable efforts to prevent the inadvertent or unauthorized disclosure of, or unauthorized access to, information relating to the representation of a client."

ABA Formal Opinion 477R clarifies that "reasonable efforts" depends on:

☐ Sensitivity of the information

☐ Likelihood of disclosure if safeguards are not employed

☐ Cost of additional safeguards

☐ Difficulty of implementing safeguards

☐ Extent to which safeguards adversely affect the lawyer's ability to represent clients

SECTION 2: ROLES AND RESPONSIBILITIES

2.1 Information Security Responsibilities

2.2 Security Personnel

SECTION 3: ACCESS CONTROL

3.1 User Account Management

Account Creation:

☐ Accounts created only upon documented authorization

☐ Unique user ID assigned to each individual

☐ Appropriate access rights based on job function

☐ Temporary/contractor accounts with defined expiration

Account Termination:

☐ Immediate deactivation upon termination of employment

☐ Access review upon role change

☐ Prompt removal of departed personnel from all systems

3.2 Password Requirements

Password Standards:

Password Rules:

☐ Never share passwords with anyone

☐ Never write passwords down in visible locations

☐ Never use the same password for multiple systems

☐ Use password manager if approved: [________________________________]

☐ Never send passwords via email or text

3.3 Multi-Factor Authentication (MFA)

MFA Required For:

☐ Email access (especially remote access)

☐ VPN/remote network access

☐ Cloud services (Microsoft 365, Google Workspace, etc.)

☐ Practice management system

☐ Client portal access

☐ Banking and financial systems

☐ Administrative/privileged access

Approved MFA Methods:

☐ Authenticator app (preferred)

☐ Hardware security key

☐ SMS verification (if other options unavailable)

3.4 Physical Access

☐ Secure access to server rooms and IT equipment

☐ Visitor sign-in and escort requirements

☐ Clean desk policy for sensitive documents

☐ Screen lock when leaving workstation

☐ Secure disposal of documents (shredding)

SECTION 4: DATA PROTECTION

4.1 Data Classification

4.2 Encryption Requirements

Data at Rest:

☐ Full disk encryption on all laptops and portable devices

☐ Encryption of backup media

☐ Database encryption for sensitive data

☐ Encrypted storage for client files

Data in Transit:

☐ TLS 1.2 or higher for web traffic

☐ Encrypted email for sensitive communications

☐ VPN for remote access

☐ Secure file transfer methods

Encryption Standards:

4.3 Sensitive Data Handling

Special Categories:

☐ Protected Health Information (PHI) - HIPAA requirements

☐ Financial account information

☐ Social Security numbers

☐ Trade secrets and proprietary information

☐ Information subject to protective orders

Handling Requirements:

☐ Minimize collection and retention of sensitive data

☐ Access on need-to-know basis only

☐ Enhanced encryption for transmission

☐ Secure disposal when no longer needed

☐ Document retention policy compliance

SECTION 5: EMAIL AND COMMUNICATION SECURITY

5.1 Email Security

General Requirements:

☐ Use firm email for all client communications

☐ Review recipient addresses before sending

☐ Use "Bcc" for group communications to protect addresses

☐ Include confidentiality notice in email signature

☐ Do not open unexpected attachments or links

Sensitive Communications:

☐ Use encryption for highly sensitive matters

☐ Consider secure client portal for document exchange

☐ Obtain client consent for electronic communication

☐ Use redaction appropriately

☐ Verify recipient before sending sensitive information

5.2 Phishing Prevention

Recognition:

☐ Unexpected or urgent requests for information/money

☐ Suspicious sender addresses

☐ Grammatical errors or unusual formatting

☐ Links that don't match expected destinations

☐ Requests to bypass normal procedures

Response:

☐ Do NOT click links or open attachments if suspicious

☐ Report to IT immediately: [________________________________]

☐ Verify requests through known contact information

☐ Forward suspicious emails to: [________________________________]

5.3 Client Communication

Establishing Communication Preferences:

☐ Discuss communication preferences during intake

☐ Document preferred communication methods

☐ Explain risks of unencrypted communication

☐ Obtain written consent for electronic communication

☐ Verify contact information periodically

SECTION 6: NETWORK AND SYSTEM SECURITY

6.1 Network Security

Firewall and Perimeter Security:

☐ Firewall protecting all network entry points

☐ Intrusion detection/prevention system

☐ Regular security updates and patches

☐ Network segmentation for sensitive systems

☐ Secure wireless network configuration

Wireless Network:

6.2 Endpoint Security

Required on All Firm Devices:

☐ Antivirus/anti-malware software

☐ Automatic security updates enabled

☐ Host-based firewall

☐ Full disk encryption

☐ Screen lock after [____] minutes of inactivity

☐ Remote wipe capability (mobile devices)

Prohibited:

☐ Disabling security software

☐ Installing unapproved software

☐ Connecting to unsecured networks for firm work

☐ Using public computers for firm systems

6.3 Remote Access

VPN Requirements:

☐ VPN required for remote access to firm network

☐ Split tunneling disabled

☐ Automatic disconnect after [____] minutes of inactivity

☐ Multi-factor authentication required

Remote Work Security:

☐ Secure home network with strong password

☐ Avoid public WiFi for sensitive work

☐ Use mobile hotspot if public WiFi necessary

☐ Ensure privacy when working in public spaces

☐ Lock devices when unattended

SECTION 7: MOBILE DEVICE AND BYOD POLICY

7.1 Firm-Owned Mobile Devices

Security Requirements:

☐ Strong passcode/biometric lock

☐ Encryption enabled

☐ Remote wipe capability

☐ Automatic updates enabled

☐ Approved apps only

☐ No jailbreaking or rooting

7.2 Personal Devices (BYOD)

Eligibility:

☐ Personal devices allowed for firm business: ☐ Yes ☐ No

☐ Approval required from: [________________________________]

Requirements for Approved Personal Devices:

☐ Current operating system with security updates

☐ Screen lock with PIN, password, or biometric

☐ Encryption enabled

☐ Antivirus software (if available for platform)

☐ Consent to remote wipe of firm data

☐ No use of firm email on shared family devices

☐ Agreement to security policy terms

7.3 Lost or Stolen Devices

Immediate Actions:

☐ Report to IT immediately: [________________________________]

☐ Report to supervisor

☐ Change passwords for accounts accessed on device

☐ Request remote wipe if necessary

☐ File police report if theft occurred

SECTION 8: VENDOR AND THIRD-PARTY SECURITY

8.1 Vendor Assessment

Before Engaging Vendors with Data Access:

☐ Review vendor security practices

☐ Request security certifications (SOC 2, ISO 27001)

☐ Evaluate data handling procedures

☐ Review incident response capabilities

☐ Verify data backup and recovery procedures

8.2 Contractual Requirements

Vendor Agreements Must Include:

☐ Confidentiality and data protection terms

☐ Security standards requirements

☐ Incident notification requirements

☐ Right to audit

☐ Data return/destruction upon termination

☐ Subcontractor restrictions

8.3 Cloud Services

Approved Cloud Services:

☐ Only approved cloud services may be used for firm data

☐ Personal cloud storage (Dropbox, personal Google Drive) prohibited for client data

SECTION 9: INCIDENT RESPONSE

9.1 Incident Types

9.2 Incident Reporting

All personnel must immediately report:

☐ Suspected unauthorized access to systems

☐ Lost or stolen devices

☐ Suspicious emails or phone calls

☐ Unusual system behavior

☐ Suspected malware infection

☐ Accidental disclosure of sensitive information

Report To:

9.3 Incident Response Procedures

Phase 1: Identification and Containment

☐ Assess scope and severity of incident

☐ Isolate affected systems if necessary

☐ Preserve evidence

☐ Notify incident response team

☐ Document all actions taken

Phase 2: Eradication and Recovery

☐ Remove threat from systems

☐ Restore systems from clean backups

☐ Reset compromised credentials

☐ Verify system integrity

☐ Monitor for recurrence

Phase 3: Notification and Reporting

☐ Determine notification requirements

☐ Notify affected clients (per ABA Opinion 483)

☐ Notify state bar if required

☐ File data breach notifications as required by law

☐ Notify insurance carrier

☐ Report to law enforcement if appropriate

Phase 4: Post-Incident Review

☐ Conduct incident review

☐ Document lessons learned

☐ Update security controls

☐ Revise policies as needed

☐ Provide additional training if needed

9.4 Data Breach Notification

Per ABA Formal Opinion 483:

☐ When a data breach involving client information is discovered, lawyers have a duty to notify current clients

☐ Notice should include description of the breach and types of information accessed

☐ Notice should describe steps taken to address the breach

☐ Consider whether to notify former clients

☐ Document all notification decisions and actions

SECTION 10: TRAINING AND AWARENESS

10.1 Required Training

10.2 Training Topics

☐ Password security and management

☐ Email security and phishing recognition

☐ Data handling and classification

☐ Physical security

☐ Mobile device security

☐ Social engineering awareness

☐ Incident reporting procedures

☐ Ethical obligations for data protection

10.3 Training Records

Training Completion Tracked By: [________________________________]

Training Completion Documented: ☐ Yes

Non-Compliance Consequences: [________________________________]

SECTION 11: COMPLIANCE AND ENFORCEMENT

11.1 Policy Compliance

☐ All personnel must comply with this policy

☐ Compliance verified through periodic audits

☐ Security controls tested regularly

☐ Policy reviewed and updated annually

11.2 Violations

Policy violations may result in:

☐ Additional training requirements

☐ Verbal or written warning

☐ Suspension of access privileges

☐ Disciplinary action up to termination

☐ Reporting to state bar (for attorneys)

☐ Civil or criminal liability

11.3 Exceptions

☐ Exceptions require written approval from: [________________________________]

☐ Exception requests must include business justification

☐ Compensating controls must be documented

☐ Exceptions reviewed annually

SECTION 12: POLICY MAINTENANCE

12.1 Review Schedule

12.2 Version History

POLICY ACKNOWLEDGMENT

I have read, understand, and agree to comply with the Law Firm Cybersecurity Policy. I understand that violations may result in disciplinary action and that I have an ethical obligation to protect client information.

Name: [________________________________]

Position: [________________________________]

Signature: [________________________________]

Date: [__/__/____]

This policy should be reviewed annually and updated to address new threats, technologies, and regulatory requirements. All personnel should receive a copy and sign an acknowledgment.