Document ID: DSP-001
Version: 1.0
Effective Date: ____________________
Approved By: ____________________
Last Review Date: ____________________
Next Review Date: ____________________
1. Purpose
The purpose of this Directory Services Policy is to establish requirements for the secure administration, configuration, monitoring, and maintenance of directory services that provide centralized identity, authentication, authorization, and resource management.
Directory services are critical security infrastructure and shall be protected using appropriate administrative, technical, and operational controls to maintain the confidentiality, integrity, and availability of organizational systems and data.
2. Scope
This policy applies to:
- Employees
- Contractors
- Consultants
- Temporary workers
- Interns
- Vendors
- Third-party service providers
- Managed Service Providers (MSPs)
This policy applies to all directory services, including but not limited to:
- On-premises directory services (e.g., Microsoft Active Directory)
- Cloud directory and identity services
- Hybrid identity environments
- Lightweight Directory Access Protocol (LDAP) services
- Identity providers (IdPs)
- Authentication directories
- Federation services
This policy applies to:
- Domain controllers
- Directory servers
- Identity infrastructure
- Authentication services
- Group policy management
- Organizational units (OUs)
- Security groups
- Service accounts
- Administrative accounts
- Trust relationships
3. Policy Statement
The organization shall centrally manage identities, authentication, authorization, and directory resources using approved directory services.
Directory services shall be configured, administered, monitored, and maintained in accordance with security best practices to reduce the risk of unauthorized access, privilege escalation, and service disruption.
4. Guiding Principles
The organization follows these principles:
- Least Privilege
- Zero Trust
- Defense in Depth
- Secure by Default
- Separation of Duties
- Individual Accountability
- High Availability
- Continuous Monitoring
5. Directory Service Governance
Directory services shall:
- Be centrally managed
- Have designated system owners
- Have designated administrators
- Follow documented configuration standards
- Support organizational security policies
- Be periodically reviewed for compliance
All changes shall follow the organization’s Change Management Policy.
6. Identity Management
Directory services shall maintain unique identities for:
- Employees
- Contractors
- Vendors
- Service accounts
- Administrative accounts
- Devices
- Applications, where applicable
Duplicate or unnecessary accounts shall be avoided.
7. Authentication Services
Directory services shall support secure authentication using approved methods.
Authentication mechanisms may include:
- Username and password
- Multi-Factor Authentication (MFA)
- Certificate-based authentication
- Smart cards
- Passkeys
- Hardware security keys
- Federated authentication
Authentication requirements shall align with the organization’s Identity and Authentication Policy.
8. Authorization
Directory services shall control access through approved authorization mechanisms, including:
- Security groups
- Role-Based Access Control (RBAC)
- Attribute-Based Access Control (ABAC)
- Organizational Units (OUs)
- Group memberships
- Conditional access policies
Permissions shall follow the Principle of Least Privilege.
9. Administrative Accounts
Administrative accounts shall:
- Be separate from standard user accounts
- Require Multi-Factor Authentication (MFA)
- Be assigned only to authorized administrators
- Be regularly reviewed
- Be monitored
- Be removed when no longer required
Administrative accounts shall not be used for routine business activities.
10. Domain Controllers and Directory Servers
Directory servers shall be protected using appropriate security controls.
Safeguards should include:
- Restricted administrative access
- Timely security updates
- Malware protection where appropriate
- Secure configuration baselines
- System hardening
- Time synchronization
- Backup and recovery procedures
- Continuous monitoring
Physical and virtual infrastructure hosting directory services shall be appropriately secured.
11. Organizational Units (OUs)
Organizational Units shall:
- Reflect business or administrative requirements
- Support delegated administration where appropriate
- Follow documented naming conventions
- Avoid unnecessary complexity
OU structures shall be periodically reviewed.
12. Security Groups
Security groups shall:
- Have documented business purposes
- Follow standardized naming conventions
- Contain only authorized members
- Be periodically reviewed
- Be removed when no longer needed
Nested groups shall be used carefully to reduce administrative complexity.
13. Group Policy Management
Group Policy Objects (GPOs) or equivalent configuration management mechanisms shall:
- Be documented
- Be tested before deployment
- Follow change management procedures
- Be reviewed periodically
- Implement approved security configurations
Only authorized administrators may modify security policies.
14. Service Accounts
Service accounts shall:
- Have documented owners
- Have documented business purposes
- Operate with minimum required permissions
- Avoid interactive logins unless required
- Be periodically reviewed
Where supported, managed service accounts or equivalent technologies should be used.
15. Trust Relationships
Directory trust relationships shall:
- Be established only when necessary
- Receive appropriate approval
- Be documented
- Be periodically reviewed
- Be removed when no longer required
Trusts shall use secure authentication mechanisms.
16. Directory Synchronization
Synchronization between on-premises and cloud identity systems shall:
- Be secured
- Be monitored
- Follow documented procedures
- Protect sensitive identity information
- Be periodically validated for accuracy
Synchronization failures shall be investigated promptly.
17. Logging and Monitoring
Directory services shall log, where technically feasible:
- Authentication events
- Administrative logins
- Account creation
- Account deletion
- Password resets
- Privilege changes
- Group membership changes
- Policy modifications
- Directory replication issues
- Failed authentication attempts
Logs shall be protected from unauthorized modification.
18. Backup and Recovery
Directory service configurations and critical identity information shall be backed up according to the organization’s Backup and Recovery Policy.
Recovery procedures shall be:
- Documented
- Periodically tested
- Capable of restoring directory services within established recovery objectives
19. Patch and Configuration Management
Directory infrastructure shall:
- Receive security updates promptly
- Follow secure configuration baselines
- Be periodically assessed for vulnerabilities
- Follow approved change management procedures
Unsupported software versions shall be upgraded or retired.
20. Access Reviews
Periodic reviews shall verify:
- Administrative accounts
- Group memberships
- Privileged permissions
- Service accounts
- Trust relationships
- Delegated administration
- Inactive accounts
- Dormant accounts
Reviews should occur at least annually or more frequently for high-risk environments.
21. Incident Response
Security incidents involving directory services shall be handled in accordance with the organization’s Incident Response Policy.
Potential incidents include:
- Unauthorized administrative access
- Privilege escalation
- Replication failures caused by malicious activity
- Unauthorized account creation
- Credential compromise
- Suspicious authentication activity
22. Exception Management
Exceptions require:
- Documented business justification
- Risk assessment
- Management approval
- Information Security approval where applicable
- Compensating security controls
- Periodic review
23. Responsibilities
Executive Management
- Support secure identity governance
- Allocate appropriate resources
- Approve directory service governance
Managers
- Approve access requests
- Participate in periodic access reviews
- Support least privilege implementation
IT Department
- Maintain directory infrastructure
- Configure directory services
- Manage user accounts
- Manage security groups
- Maintain backups
- Apply security updates
- Monitor directory health
Information Security
- Define directory security standards
- Review administrative privileges
- Monitor directory-related security events
- Assess compliance
- Investigate security incidents
System Owners
- Approve access requirements
- Review group memberships
- Validate permissions
Users
- Protect authentication credentials
- Report suspected unauthorized access
- Comply with organizational security policies
24. Compliance
Compliance with this policy is mandatory.
Violations may result in:
- Removal of administrative privileges
- Suspension of access
- Disciplinary action
- Contract termination
- Legal action where applicable
25. Policy Review
This policy shall be reviewed at least annually or following:
- Significant infrastructure changes
- Security incidents
- Regulatory updates
- Organizational restructuring
- Audit findings
26. Related Policies
- Information Security Policy
- Access Control Policy
- Identity and Authentication Policy
- Least Privilege Policy
- Privileged Access Management (PAM) Policy
- Password Policy
- Multi-Factor Authentication (MFA) Policy
- Change Management Policy
- Logging and Monitoring Policy
- Backup and Recovery Policy
- Incident Response Policy
- Joiner, Mover, Leaver (JML) Policy
Document Objective
This policy establishes the organization’s requirements for the secure governance, administration, and operation of directory services used for identity and access management. It provides a vendor-neutral framework applicable to on-premises, cloud, and hybrid identity environments while supporting centralized authentication, authorization, and identity lifecycle management. This policy aligns with widely recognized security frameworks, including NIST CSF, ISO/IEC 27001, CIS Controls, SOC 2, HIPAA, PCI DSS, CMMC, and the FTC Safeguards Rule.