HRS-02.1: Users With Elevated Privileges

There is no evidence of a capability to ensure that every user accessing Technology Assets, Applications and/or Services (TAAS) that process, store and/or transmit sensitive/regulated data is cleared and regularly trained to handle the information in question.

Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities.
• The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization.
• Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management.
• Administrative processes require all employees and contractors to apply cybersecurity and data privacy principles in their daily work.

Human Resources Security (HRS) efforts are requirements-driven and governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.

• Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
• IT/cybersecurity personnel identify cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management.
• The Human Resources (HR) department:
• The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities.
• Personnel managers ensure personnel are routinely made aware of the organization's cybersecurity / data privacy policies and provide acknowledgement.
• Administrative processes require all employees and contractors to apply cybersecurity and data privacy principles in their daily work.
• Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.

Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing Technology Assets, Applications and/or Services (TAAS) that process, store and/or transmit sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity and data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.

• The Human Resources (HR) department:
• Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.
• Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.

Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
• Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
• Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
• Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
• Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
• Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See C|P-CMM4. There are no defined C|P-CMM5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to ensure that every user accessing Technology Assets, Applications and/or Services (TAAS) that process, store and/or transmit sensitive/regulated data is cleared and regularly trained to handle the information in question.