Administrative management controls are essential for ensuring the security and integrity of an organization’s information systems. These controls focus on policies and procedures that guide how security is managed and enforced within an organization.

Key Administrative Management Controls

1. Separation of Duties
   • Purpose: To prevent any single individual from having full control over critical security functions, reducing the risk of fraud or errors.
   • Implementation: Assign different parts of tasks to various individuals so no one person has total control over critical systems or data.
   • Example: One person handles data entry, another handles approval, and a third manages audit logs.
2. M of N Control
   • Purpose: To enhance security by requiring that a specified number of individuals (M) out of a total number (N) collaborate to perform high-security tasks.
   • Implementation: Requires a minimum number of people to work together to complete sensitive operations, such as accessing encrypted data or performing key recovery.
   • Example: In a key escrow system, it might require three out of eight designated agents to work together to retrieve an encryption key.
3. Least Privilege
   • Purpose: To limit user access rights to the minimum necessary for performing their job duties, reducing the risk of unauthorized access.
   • Types:
     • Read Only: Users can view data but not modify it.
     • Read/Write: Users can view and modify data.
     • Access/Change: Users can access and change data or system settings.
   • Implementation: Assign the lowest level of access needed and adjust permissions as needed based on the user’s role and responsibilities.
4. Two-Man Control
   • Purpose: To ensure that highly sensitive operations are reviewed and approved by two individuals to prevent errors and fraud.
   • Implementation: Both individuals must approve or review each other’s work before completing sensitive tasks.
   • Example: Both a senior administrator and a security officer must approve changes to critical system configurations.
5. Dual Control
   • Purpose: To require the participation of two individuals in completing a specific task, ensuring oversight and reducing the risk of fraud.
   • Implementation: Two people are needed to execute or authorize a task, such as performing a financial transaction or changing security settings.
   • Example: Both an IT manager and a compliance officer must execute a critical system update.
6. Rotation of Duties
   • Purpose: To minimize the risk of fraud and collusion by periodically changing an individual’s job responsibilities.
   • Implementation: Rotate employees through different security-related tasks to ensure no one person has control for an extended period.
   • Example: An employee handling financial transactions might be rotated to another role every six months.
7. Mandatory Vacations
   • Purpose: To detect fraudulent activity and ensure that operations can be audited effectively.
   • Implementation: Employees must take a minimum period of vacation (e.g., one week) during which their duties are covered by others.
   • Example: A financial analyst must take a week-long vacation, allowing colleagues to review their work and potentially uncover irregularities.
8. Need to Know
   • Purpose: To ensure that individuals are only given access to the information necessary to perform their job duties.
   • Implementation: Limit information access based on job requirements and business justification.
   • Example: A project team member might only access data relevant to their specific project tasks.
9. Agreements
   • Purpose: To establish formal expectations and responsibilities regarding the use and protection of information.
   • Types:
     • Non-Disclosure Agreements (NDAs): Prevent individuals from disclosing confidential information.
     • Non-Compete Agreements: Restrict employees from working with competitors for a specified period.
     • Acceptable Use Policies: Define acceptable behaviors for using organizational resources and systems.