MNT-04.4: Restrict Tool Usage

There is no evidence of a capability to restrict the use of maintenance tools to authorized maintenance personnel and/ or roles.

C|P-CMM1 is N/A, since a structured process is required to restrict the use of maintenance tools to authorized maintenance personnel and/ or roles.

Maintenance (MNT) 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 Identify cybersecurity and data protection controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations.

• Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
• IT/cybersecurity personnel:
• Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations.
• Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service.
• Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution.
• Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.
• Administrative processes and technologies exist to control and monitor the use of system maintenance tools.

Maintenance (MNT) 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:

• IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations.
• Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program.
• Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program.
• A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations.
• Administrative processes and technologies exist to control and monitor the use of system maintenance tools.

Maintenance (MNT) 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.

Maintenance (MNT) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions.
• Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes.