1. Purpose
The purpose of this Identity and Access Management (IAM) Policy is to establish requirements for managing digital identities and controlling access to organizational systems, applications, networks, cloud services, and information assets.
Effective identity and access management helps ensure that only authorized individuals are granted access to organizational resources based on business need. This policy establishes controls for identity lifecycle management, authentication, authorization, access provisioning, access reviews, and access revocation to protect the confidentiality, integrity, and availability of organizational information.
2. Scope
This policy applies to:
- All employees
- Contractors
- Consultants
- Temporary personnel
- Interns
- Third-party personnel with authorized access to organizational resources
This policy applies to all:
- User accounts
- Privileged accounts
- Service accounts
- System accounts
- Application accounts
- Cloud identities
- Third-party identities
- Administrative accounts
The policy applies to all organizational systems, applications, databases, cloud environments, networks, and information assets.
3. Policy Statement
The organization shall implement and maintain an Identity and Access Management Program that ensures users receive access only to resources necessary to perform authorized job functions.
Access shall be granted, modified, reviewed, and revoked according to documented procedures and based on the principles of least privilege, need-to-know, and segregation of duties.
Identity and access management controls shall be applied consistently across organizational systems and environments.
4. Objectives
The objectives of this policy are to:
- Ensure only authorized individuals access organizational resources.
- Reduce risks associated with unauthorized access.
- Support secure identity lifecycle management.
- Enforce least privilege and need-to-know principles.
- Improve accountability and auditability.
- Support regulatory and compliance requirements.
- Strengthen authentication and access controls.
- Protect organizational information assets.
5. Definitions
Identity
A digital representation of a user, system, application, or service that interacts with organizational resources.
Authentication
The process of verifying the identity of a user, device, application, or service.
Authorization
The process of granting access rights and permissions to resources.
Least Privilege
The principle of granting only the minimum level of access necessary to perform assigned duties.
Need-to-Know
The principle that access to information is provided only when required for authorized business purposes.
Privileged Account
An account with elevated permissions capable of modifying systems, configurations, security controls, or access rights.
Service Account
A non-human account used by applications, services, or automated processes.
Multi-Factor Authentication (MFA)
An authentication method requiring two or more independent forms of verification.
6. Roles and Responsibilities
Executive Management
Responsible for:
- Supporting IAM governance.
- Providing resources necessary for IAM operations.
- Reviewing significant IAM risks.
Information Security Team
Responsible for:
- Establishing IAM requirements.
- Monitoring IAM compliance.
- Reviewing access control effectiveness.
- Supporting access reviews and audits.
- Investigating access-related security events.
Information Technology Team
Responsible for:
- Managing identity systems.
- Provisioning and deprovisioning accounts.
- Implementing access controls.
- Maintaining authentication systems.
- Supporting IAM technologies.
Managers and Supervisors
Responsible for:
- Approving access requests.
- Ensuring access remains appropriate.
- Reviewing user access periodically.
- Reporting personnel changes affecting access.
Users
Responsible for:
- Protecting credentials.
- Using access privileges appropriately.
- Reporting suspected credential compromise.
- Following authentication requirements.
7. Identity and Access Management Program
The organization shall maintain a documented Identity and Access Management Program that includes:
- Identity lifecycle management
- Account provisioning
- Authentication controls
- Authorization management
- Access reviews
- Privileged access management
- Access monitoring
- Account deprovisioning
The program shall be reviewed periodically for effectiveness.
8. Identity Lifecycle Management
Digital identities shall be managed throughout their lifecycle.
Lifecycle activities shall include:
- Identity creation
- Identity modification
- Access changes
- Identity suspension
- Identity termination
- Identity removal
Identity records shall remain accurate and current.
9. User Account Management
All user accounts shall:
- Be uniquely assigned to an individual where feasible.
- Be approved before creation.
- Be associated with a legitimate business purpose.
- Be managed according to documented procedures.
Shared user accounts shall be prohibited unless specifically authorized and documented.
10. Account Provisioning
Access shall be granted only after appropriate approval and verification.
Provisioning activities shall include:
- Identity verification
- Approval by authorized personnel
- Assignment of appropriate access rights
- Documentation of access decisions
Access shall be provisioned according to job responsibilities and business requirements.
11. Access Authorization
Access rights shall be assigned based on:
- Job responsibilities
- Business requirements
- Least privilege principles
- Need-to-know requirements
- Regulatory obligations
Access permissions shall be documented and maintained.
12. Authentication Requirements
Users shall authenticate using approved authentication methods.
Authentication controls may include:
- Passwords
- Passphrases
- Biometrics
- Security tokens
- Smart cards
- Multi-factor authentication
Authentication mechanisms shall be commensurate with risk and sensitivity.
13. Multi-Factor Authentication
Multi-factor authentication shall be required for:
- Administrative access
- Remote access
- Cloud service access where supported
- Access to sensitive systems
- Access to sensitive information
Exceptions shall require documented approval and risk assessment.
14. Password Requirements
Passwords shall comply with organizational password requirements.
Password controls may include:
- Minimum length requirements
- Complexity requirements where applicable
- Password reuse restrictions
- Secure storage requirements
- Protection against unauthorized disclosure
Passwords shall never be shared or transmitted insecurely.
15. Privileged Access Management
Privileged accounts shall be subject to enhanced controls.
Controls may include:
- Separate privileged accounts
- Multi-factor authentication
- Session monitoring
- Access approval requirements
- Periodic access reviews
Privileged access shall be limited to authorized personnel.
16. Service Accounts
Service accounts shall:
- Be documented
- Have defined ownership
- Use strong authentication credentials
- Follow least privilege principles
- Be reviewed periodically
Service account credentials shall be protected and managed securely.
17. Third-Party Access
Third-party access shall be limited to approved business purposes.
Third-party access shall:
- Be authorized
- Be documented
- Be periodically reviewed
- Be revoked when no longer required
Third parties shall comply with applicable organizational security requirements.
18. Access Reviews
Access rights shall be reviewed periodically to ensure appropriateness.
Reviews shall evaluate:
- User access permissions
- Privileged accounts
- Third-party access
- Service accounts
- Segregation of duties
Inappropriate or unnecessary access shall be removed promptly.
19. Segregation of Duties
Access controls shall support segregation of duties where appropriate.
Conflicting responsibilities shall be identified and managed to reduce risks associated with:
- Fraud
- Errors
- Unauthorized activity
- Abuse of privileges
Compensating controls may be implemented where segregation is not practical.
20. Access Modification
Access rights shall be updated when:
- Job responsibilities change
- Transfers occur
- Promotions occur
- Business requirements change
- Risk considerations require modification
Changes shall follow documented approval procedures.
21. Account Suspension and Revocation
Access shall be suspended or revoked when:
- Employment terminates
- Contracts expire
- Business need no longer exists
- Security concerns arise
- Policy violations occur
Access removal shall occur as soon as practical following notification.
22. Dormant and Inactive Accounts
Inactive accounts shall be identified and managed appropriately.
Inactive accounts may be:
- Disabled
- Suspended
- Removed
- Reviewed for continued necessity
Periodic reviews shall be conducted.
23. Access Monitoring and Logging
Identity and access activities shall be logged and monitored.
Monitoring may include:
- Login activity
- Failed authentication attempts
- Privileged access activity
- Permission changes
- Account creation and deletion
Logs shall be protected according to organizational requirements.
24. Identity Federation and Single Sign-On
Where identity federation or single sign-on solutions are utilized, appropriate security controls shall be implemented.
Controls may include:
- Authentication standards
- Trust relationship management
- MFA enforcement
- Access monitoring
Federated access shall comply with organizational security requirements.
25. Emergency Access
Emergency access mechanisms may be established to support business continuity and incident response activities.
Emergency access shall:
- Be documented
- Be monitored
- Be time-limited where feasible
- Be reviewed after use
Emergency access usage shall be logged and audited.
26. Compliance and Auditing
Compliance with this policy shall be verified through:
- Access reviews
- Internal audits
- External audits
- Security assessments
- Compliance evaluations
Findings shall be documented and addressed through corrective action processes.
27. Exceptions
Exceptions to this policy must:
- Be documented
- Include business justification
- Include risk assessment
- Identify compensating controls
- Be approved by management
- Be reviewed periodically
Temporary exceptions shall include expiration dates.
28. Enforcement
Violations of this policy may result in:
- Removal of access privileges
- Disciplinary action
- Contract termination
- Legal action where applicable
29. Review and Maintenance
This policy shall be reviewed:
- At least annually
- Following significant technology changes
- Following major security incidents
- Following regulatory changes
- Following significant IAM program updates
Updates shall be approved by executive management.
30. Related Policies
- Information Security Policy
- Access Control Policy
- Password Policy
- Multi-Factor Authentication Policy
- Privileged Access Management Policy
- Security Monitoring and Logging Policy
- Human Resources Security Policy
- Third-Party Risk Management Policy
31. Policy Approval
Policy Owner: Chief Information Security Officer (CISO) or Information Security Manager
Approved By: Executive Management
Effective Date: __________________
Review Date: __________________
Version: 1.0