+Maintenance Personnel Without Appropriate Access

Maintenance Personnel Without Appropriate Access

Description

Mechanisms exist to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.

Possible Solutions & Considerations

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

∙ Role Based Access Control (RBAC)

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

∙ Role Based Access Control (RBAC)

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

∙ Role Based Access Control (RBAC)

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

∙ Role Based Access Control (RBAC)

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

∙ Role Based Access Control (RBAC)

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

Maintenance (MNT) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with MNT domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Maintenance-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations.

Level 2 Planned Tracked

Maintenance (MNT) 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 MNT domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with MNT 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 MNT domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Maintenance-related controls are primarily administrative and preventative in nature (e.g., policies, standards, procedures & guidelines).
▪ Asset management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ IT personnel, in conjunction with asset custodians, develop and maintain facilitate localized/regionalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the Technology Asset, Application and/or Service (TAAS).
▪ Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution.
▪ Asset / process owners require maintenance personnel to obtain pre-approval and scheduling for non-local maintenance sessions.
▪ IT personnel, in conjunction with asset custodians, mitigate the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.

Level 3 Well Defined

Maintenance (MNT) 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 MNT 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 MNT domain capabilities (e.g., maintenance pans) are documented and maintained by process owners.
▪ A centralized Change Management Office (CMO), or similar function, is appropriately staffed and supported to implement and maintain MNT domain capabilities.
▪ Technical procedures (e.g., ITIL change enablement) are utilized along with change management governance capabilities to ensure successful, efficient and secure maintenance operations.
▪ 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 MNT 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 the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.

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. Übersicht

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Related Regulations

2. Identifizierte Anforderungen

Anforderungen

3. Related Regulations

Regulations

Linked Issues

Issuelinks
is related to Annual
is related to relative Control Weighting = 07
is related to People
is related to Protect
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks Inability to maintain individual accountability
blocks Improper assignment of privileged functions
blocks Privilege escalation
blocks Unauthorized access
blocks Lost, damaged or stolen asset(s)
blocks Loss of integrity through unauthorized changes
blocks Business interruption
blocks Data loss / corruption
blocks Reduction in productivity
blocks Information loss / corruption or system compromise due to technical attack
blocks Information loss / corruption or system compromise due to non‐technical attack
blocks Loss of revenue
blocks Cancelled contract
blocks Diminished competitive advantage
blocks Diminished reputation
blocks Fines and judgements
blocks Unmitigated vulnerabilities
blocks System compromise
blocks Inability to support business processes
blocks Incorrect controls scoping
blocks Lack of roles & responsibilities
blocks Inadequate internal practices
blocks Inadequate third-party practices
blocks Lack of oversight of internal controls
blocks Lack of oversight of third-party controls
blocks Inability to investigate / prosecute incidents
blocks Improper response to incidents
blocks Ineffective remediation actions
blocks Expense associated with managing a loss event
blocks Inability to maintain situational awareness
blocks Lack of a security-minded workforce
blocks Third-party cybersecurity exposure
blocks Third-party physical security exposure
blocks Third-party supply chain relationships, visibility and controls
blocks Third-party compliance / legal exposure
blocks Use of product / service
blocks Reliance on the third-party
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