5. Access Control

This category focuses on managing access to information and information systems to ensure that only authorized users have access to specific resources. It includes defining, implementing, and monitoring access controls to protect the organization's information assets and ensure compliance with security policies.

Controls (A.9):

• A.9.1.1: Access Control Policy

• A.9.1.2: Access to Networks and Network Services

• A.9.2.1: User Registration and De-registration

• A.9.2.2: User Access Provisioning

• A.9.2.3: Management of Privileged Access Rights

• A.9.2.4: Management of Secret Authentication Information of Users

• A.9.2.5: Review of User Access Rights

• A.9.2.6: Removal or Adjustment of Access Rights

• A.9.3.1: Use of Secret Authentication Information

• A.9.4.1: Information Access Restriction

• A.9.4.2: Secure Log-on Procedures

• A.9.4.3: Password Management System

• A.9.4.4: Use of Privileged Utility Programs

• A.9.4.5: Access Control to Program Source Code

Control A.9.1.1: Access Control Policy

Audit Questions:

• Is there a documented access control policy?

• Does the policy define roles and responsibilities for access control?

• How is the policy communicated to employees?

Common Non-Conformities (NC):

• Lack of a documented access control policy.

• Roles and responsibilities not defined.

• Inadequate communication of the policy.

Control A.9.1.2: Access to Networks and Network Services

Audit Questions:

• Are there controls to manage access to networks and network services?

• How is unauthorized access detected and prevented?

Common Non-Conformities (NC):

• Insufficient controls for network access.

• Lack of monitoring for unauthorized access.

Control A.9.2.1: User Registration and De-registration

Audit Questions:

• What processes are in place for user registration and de-registration?

• How are access rights granted and revoked?

Common Non-Conformities (NC):

• No formal process for user registration and de-registration.

• Delays in revoking access for terminated users.

Control A.9.2.2: User Access Provisioning

Audit Questions:

• How are user access rights provisioned?

• Are there approvals required for granting access?

Common Non-Conformities (NC):

• Inconsistent access provisioning.

• Lack of approval process for granting access.

Control A.9.2.3: Management of Privileged Access Rights

Audit Questions:

• How are privileged access rights managed?

• Are there procedures for monitoring and reviewing privileged access?

Common Non-Conformities (NC):

• Poor management of privileged access rights.

• Lack of monitoring for privileged access.

Control A.9.2.4: Management of Secret Authentication Information of Users

Audit Questions:

• What measures are in place to manage secret authentication information?

• How is secret authentication information protected?

Common Non-Conformities (NC):

• Inadequate protection of secret authentication information.

• Lack of management controls for secret authentication information.

Control A.9.2.5: Review of User Access Rights

Audit Questions:

• How often are user access rights reviewed?

• Are there records of these reviews?

Common Non-Conformities (NC):

• User access rights not reviewed regularly.

• No records of access rights reviews.

Control A.9.2.6: Removal or Adjustment of Access Rights

Audit Questions:

• What procedures are in place for removing or adjusting access rights?

• How are changes to access rights communicated?

Common Non-Conformities (NC):

• No formal procedures for removing or adjusting access rights.

• Changes to access rights not communicated effectively.

Control A.9.3.1: Use of Secret Authentication Information

Audit Questions:

• Are there guidelines for the use of secret authentication information?

• How are these guidelines enforced?

Common Non-Conformities (NC):

• Lack of guidelines for secret authentication information.

• Poor enforcement of usage guidelines.

Control A.9.4.1: Information Access Restriction

Audit Questions:

• How is access to information restricted based on the need to know?

• Are there controls to prevent unauthorized access?

Common Non-Conformities (NC):

• Insufficient access restrictions.

• Unauthorized access not prevented effectively.

Control A.9.4.2: Secure Log-on Procedures

Audit Questions:

• Are there secure log-on procedures in place?

• How are these procedures communicated and enforced?

Common Non-Conformities (NC):

• No secure log-on procedures.

• Inadequate communication of log-on procedures.

Control A.9.4.3: Password Management System

Audit Questions:

• What password management systems are used?

• Are password policies enforced?

Common Non-Conformities (NC):

• No password management system in place.

• Weak enforcement of password policies.

Control A.9.4.4: Use of Privileged Utility Programs

Audit Questions:

• How is the use of privileged utility programs controlled?

• Are there logs of privileged utility program usage?

Common Non-Conformities (NC):

• Uncontrolled use of privileged utility programs.

• No logs of privileged utility program usage.

Control A.9.4.5: Access Control to Program Source Code

Audit Questions:

• What controls are in place to restrict access to program source code?

• How is access to source code monitored?

Common Non-Conformities (NC):

• Insufficient controls for source code access.

• Lack of monitoring for source code access.