## ACCESS MANAGEMENT STANDARD
### Identity · Authentication · Authorization · Lifecycle

---

| | |
|---|---|
| **Document ID** | CERG-STD-AC-001 |
| **Version** | 1.21 |
| **Status** | Approved |
| **Classification** | Public |
| **Owner** | Governance Pillar Leader |
| **Parent Policy** | [CERG-POL-001](../governance/CERG-POL-001_Cybersecurity_Policy.md) - Cybersecurity Policy |
| **Review Cycle** | Annual / Upon Significant Change |
| **Frameworks** | [NIST CSF 2.0](https://csrc.nist.gov/pubs/cswp/29/the-nist-cybersecurity-framework-csf-20/final) · [NIST 800-53r5](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) · [NIST 800-63](https://pages.nist.gov/800-63-3/)-3 (B/C) · [NIST 800-171r3](https://csrc.nist.gov/pubs/sp/800/171/r2/final) · NIST RMF |
| **Regulations** | NERC-CIP · [CMMC L2](https://dodcio.defense.gov/CMMC/) · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · HIPAA (where applicable) |
| **Environments** | All in-scope assets - owned, hybrid, cloud, SaaS, OT |

---

## Table of Contents

1. [Purpose and Scope](#1-purpose-and-scope)
2. [CERG Roles in Access Management](#2-cerg-roles-in-access-management)
3. [Identity Foundation](#3-identity-foundation)
4. [Authentication](#4-authentication)
5. [Authorization](#5-authorization)
6. [Privileged Access Management](#6-privileged-access-management)
7. [Remote, Vendor, and Third-Party Access](#7-remote-vendor-and-third-party-access)
8. [Identity Lifecycle (Joiner / Mover / Leaver)](#8-identity-lifecycle-joiner--mover--leaver)
9. [Access Review and Recertification](#9-access-review-and-recertification)
10. [Monitoring, Logging, and Detection](#10-monitoring-logging-and-detection)
11. [Regulatory and Framework Alignment Summary](#11-regulatory-and-framework-alignment-summary)
12. [Exceptions and Escalation](#12-exceptions-and-escalation)
13. [Document Control](#13-document-control)

---

## 1. Purpose and Scope

This standard implements the foundational principles established in **[CERG-POL-001](../governance/CERG-POL-001_Cybersecurity_Policy.md)** for identity, authentication, authorization, and the full access lifecycle. It defines specific, measurable requirements that apply to every in-scope asset, regardless of system class, environment, or trust level.

Access management is the connective tissue between every other security control. A perfectly hardened system is no more secure than the worst credential authorized to log into it. A perfectly classified data store is no more protected than the weakest authorization rule that permits read access. This standard treats identity as the primary enforcement layer it has become.

### 1.1 Scope

This standard applies to:

- All workforce identities (employees, contractors, consultants) accessing organizational systems
- All system, service, and application identities (machine identities, workload identities, API credentials)
- All third-party identities (vendors, integrators, customers, partners) with access to organizational systems
- All authentication and authorization decisions across owned, hybrid, cloud, SaaS, and OT environments
- All credentials, secrets, keys, tokens, and certificates used to authenticate or authorize access

### 1.2 Standard Versus Subordinate Detail

This standard establishes the requirements. Specific implementation details, IdP configuration baselines, MFA enrollment procedures, PAM workflows, access review run-books, are maintained as procedures and platform guides linked from this document. Where a subordinate procedure conflicts with this standard, this standard governs.

### 1.3 Relationship to Parent Policy and Peer Standards

This standard is subordinate to **[CERG-POL-001](../governance/CERG-POL-001_Cybersecurity_Policy.md)** and operates alongside the IT ([CERG-STD-IT-001](CERG-STD-IT-001_IT_Cloud_SaaS_Security_Standard.md)), OT ([CERG-STD-OT-001](CERG-STD-OT-001_Grid_Control_Systems_Security_Standard.md)), and CUI ([CERG-STD-CUI-001](CERG-STD-CUI-001_CUI_Handling_Standard.md)) standards. Where any peer standard imposes more stringent access requirements for a specific environment or data class (e.g., NERC-CIP CIP-004 for BES Cyber Systems, 800-171 3.5 for CUI), the more stringent requirement controls.

---

## 2. CERG Roles in Access Management

| **CERG Pillar** | **Access Management Responsibilities** |
|---|---|
| **Engineering** | Designs, implements, and maintains identity platforms - IdP, directory, MFA, SSO, federation, PAM, secrets management, and certificate authorities. Builds joiner / mover / leaver automations. Maintains identity-related infrastructure-as-code, conditional access policies, and platform-level access controls. |
| **Risk** | Operates continuous identity threat detection (UEBA, identity provider risk signals, privileged session monitoring). Conducts identity-focused adversarial testing. Maintains the identity-risk view in the risk register: stale accounts, excessive privileges, MFA bypass paths, dormant service accounts. |
| **Governance** | Owns this standard and all access management procedures. Operates the access review and recertification program. Maintains role definitions, segregation-of-duties (SoD) policies, and approval matrices. Produces access-control evidence for [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204), NERC-CIP, [CMMC](https://dodcio.defense.gov/CMMC/), and other regulatory regimes. Coordinates access-related findings during audits. |

> **The "Every Door, Every Time" Standard**
>
> Strong access control is not selective. An MFA prompt that can be bypassed once, through legacy protocols, an unmanaged endpoint, or an exception with no expiration, is not a strong control; it is a control with a documented bypass. CERG measures access maturity by the absence of exceptions, not by the strength of the primary path.

---

## 3. Identity Foundation

### 3.1 Authoritative Identity Sources

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Maintain an authoritative source for each identity class: HRIS for employees, a contractor management system for contractors, an asset / configuration system for machine identities, and a vendor management record for third-party identities. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-4, AC-2 |
| Provision and deprovision workforce accounts only from authoritative sources via automated workflows. Manual account creation is an exception case requiring documented justification. | Engineering | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(1) |
| Reconcile downstream systems (IdP, directory, applications) with authoritative sources on at least a daily cadence. Discrepancies are flagged and resolved within defined SLAs. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(4), CA-7 |

### 3.2 Identity Federation and SSO

| **Requirement**                                                                                                                                                                                                                         | **CERG Owner**           | **Regulatory Reference**               |
| --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ------------------------ | -------------------------------------- |
| All in-scope applications shall integrate with the central identity provider via SSO (SAML, OIDC, or equivalent) where technically supported. Local-account-only applications require a documented exception and compensating controls. | Engineering              | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-2, IA-8 · [NIST 800-63](https://pages.nist.gov/800-63-3/)-3 |
| Identity federation to third parties (partners, customers, vendors) shall be approved by Engineering and Governance, scoped to the minimum necessary, and reviewed annually.                                                            | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-8, CA-3                 |
| Where SSO is not technically feasible, local accounts shall be uniquely identified, MFA-enforced, and included in the access review program.                                                                                            | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(7), IA-2              |

### 3.3 Identity Classes

The organization recognizes the following identity classes. Controls in this standard apply to all classes; specific provisions are noted where they differ.

| **Class** | **Definition** | **Primary Controls** |
|---|---|---|
| **Workforce - Employee** | Permanent or fixed-term employees of the organization. | HR-driven lifecycle, full MFA, conditional access, role-based authorization. |
| **Workforce - Contractor / Consultant** | Non-employee individuals performing work on the organization's behalf. | Contractor-system lifecycle, sponsor accountability, fixed end-dates, MFA, narrower authorization scope. |
| **Privileged Administrator** | Workforce identities with elevated rights to platforms, systems, or data classes. | All workforce controls, plus PAM-managed credentials, JIT elevation, session recording, dedicated privileged workstation where required. |
| **Service / Machine Identity** | Non-human identities (service accounts, managed identities, workload identities) authenticating to systems and APIs. | Secrets manager custody, no interactive login, scoped permissions, rotation policy, ownership, expiration. |
| **Vendor / Third-Party** | Identities belonging to external organizations with access to organizational systems. | Federation or sponsored accounts, scope-limited, time-bound, monitored, contractually obligated. |
| **Break-Glass / Emergency** | Highly privileged identities reserved for emergency access when normal mechanisms are unavailable. | Vaulted credentials, dual control, alarmed use, post-use review, documented procedure. |

---

## 4. Authentication

### 4.1 Multi-Factor Authentication

> **Phishing-Resistant by Default for Anything That Matters**
>
> SMS and voice MFA are no longer sufficient for privileged access or for anything that holds Restricted-tier data. [NIST 800-63](https://pages.nist.gov/800-63-3/)-3 retired SMS as a restricted authenticator. The standard for administrative paths is phishing-resistant authentication, FIDO2/WebAuthn, platform authenticators, or smart cards. TOTP and push remain acceptable for general workforce access where conditional access policies provide compensating signals.

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Enforce MFA for all remote access, all access to privileged functions, and all access to systems classified Confidential or Restricted, regardless of network location. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-2(1), IA-2(2), IA-2(11) |
| Use phishing-resistant authenticators (FIDO2, platform authenticators, PIV / CAC, or equivalent) for: privileged roles in any environment, root / global-admin accounts, all CUI-system access ([CMMC L2](https://dodcio.defense.gov/CMMC/) expectation), and all break-glass paths. | Engineering | [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B AAL3 · [CMMC](https://dodcio.defense.gov/CMMC/) IA.L2-3.5.3 |
| For non-privileged workforce access, MFA shall be enforced via methods that meet [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B AAL2 or higher. SMS / voice methods are not acceptable as the sole second factor for new enrollments. | Engineering | [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B AAL2 |
| Service-to-service and workload-to-service authentication shall use platform-issued credentials (managed identities, workload identities, mTLS) where technically available; long-lived static API keys are an exception case. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-9 · [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B |
| Authentication failures, lockouts, and MFA bypass events shall be logged and alerted on. Account-lockout thresholds and durations are defined in the IdP baseline. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-7, AU-2 |

### 4.2 Credential Management

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| All credentials (passwords, keys, tokens, certificates) shall meet the cryptographic strength requirements defined in the IdP / cryptographic standard. Legacy algorithms (e.g., MD5, SHA-1, weak cipher suites) shall be disabled wherever technically possible. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-5 · [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B |
| Default and vendor-supplied credentials shall be changed before deployment or first connection of any system to organizational networks. Detection of unchanged defaults is a Critical finding. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-5(1) · NERC-CIP CIP-007 R5.5 |
| Workforce passwords shall meet the organization's password policy aligned with [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B. Periodic forced rotation is not required unless a compromise is suspected; passwords shall be screened against known-compromised lists at set / reset. | Engineering | [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B §5.1.1 |
| Shared accounts are prohibited. Where a vendor or vendor product requires a shared credential, document the exception, vault the credential under PAM, and apply session-attribution monitoring. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-2, AC-2 · NERC-CIP CIP-007 R5.1 |
| Secrets, API keys, and certificates shall be stored in an approved secrets management platform with rotation, access logging, and least-privilege retrieval. Plaintext secrets in source repositories, configuration files, IaC, container images, or chat tools are prohibited. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-5(7) · OWASP ASVS |

### 4.3 Session Management

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Enforce session inactivity timeouts and absolute session lifetimes appropriate to the sensitivity of the system. Privileged sessions and Restricted-data systems use shorter limits than general workforce systems. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-11, AC-12 |
| Bind sessions to device posture where supported. Sessions established on noncompliant devices for sensitive paths shall be terminated automatically. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-12(1), IA-2(12) |
| Provide session revocation capability for the IdP and for Tier 1 SaaS / cloud control planes. Compromise response shall be able to invalidate sessions globally within minutes. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-12, IR-4 |

---

## 5. Authorization

### 5.1 Least Privilege

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Grant access strictly on the basis of least privilege - the minimum required to perform an authorized function. New roles and entitlements shall be reviewed for least-privilege adherence before approval. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.5 |
| Default to deny. Network, application, and platform authorization defaults shall be deny-by-default with explicitly authorized exceptions. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-3 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.3 |
| Authorization shall reference role, attribute, or policy - not user identity alone. Identity-only authorization (entitlements assigned directly to a user without role/group/policy abstraction) is restricted to documented exceptions. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-3 · [NIST CSF 2.0](https://www.nist.gov/cyberframework) PR.AA |

### 5.2 Role and Group Design

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Maintain documented role definitions for in-scope applications and platforms. Each role specifies entitlements, intended use, and owner. Roles are reviewed annually and upon material application change. | Governance / Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2 · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC |
| Segregation of duties (SoD) policies shall be defined for systems supporting financial reporting, payment processing, regulated operational activities, and security-control configuration. SoD violations are detected and remediated as part of the access review program. | Governance / Engineering | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-5 |
| Role and group assignments shall be made through a documented request and approval workflow with line-manager and resource-owner approvals as appropriate. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(1) |

### 5.3 Authorization for Sensitive Data and Functions

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Access to Restricted-tier data (CUI, PCI, PHI, financially material data) requires explicit authorization by the data owner. Inherited group access is permitted only where the inheriting group has an authorized purpose. | Governance / Engineering | [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.3 · HIPAA 164.308 |
| Highly destructive functions (mass delete, configuration baseline modification, identity-platform changes) shall require additional authorization controls: dual approval, JIT elevation, or compensating session monitoring. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6 · [NIST CSF 2.0](https://www.nist.gov/cyberframework) PR.AA |
| Cross-organizational data sharing (federation, OAuth grants to third-party apps, API integrations) shall be authorized by Engineering and Governance and documented in the third-party integration register. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-21 · CSA CCM IAM-13 |

---

## 6. Privileged Access Management

### 6.1 Privileged Access Definition

The following access types shall be treated as privileged and subject to the controls in this section:

- Administrative access to operating systems, hypervisors, and container platforms
- Administrative access to identity platforms (IdP, directory, MFA, PAM, KMS, CA)
- Administrative access to cloud control planes (account / subscription / project admin, IAM-policy authoring)
- Administrative access to Tier 1 SaaS applications (M365 GA, Salesforce SysAdmin, etc.)
- Administrative access to security infrastructure (SIEM, EDR, firewall, DLP, CSPM, network appliances)
- Administrative access to BES Cyber Systems and OT control systems
- Access to break-glass / emergency accounts
- Administrative access to backup, snapshot, and restoration systems

### 6.2 Privileged Access Controls

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| All privileged access shall be brokered through an approved Privileged Access Management (PAM) platform. Direct administrative access bypassing PAM is an exception case with documented compensating controls. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6, IA-2 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.5 |
| Implement just-in-time (JIT) privileged access - standing administrative entitlements are eliminated in favor of time-bound, request-approved elevation. Where JIT is not technically feasible, document the technical limit and apply enhanced session monitoring. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6(2), AC-6(5) |
| Privileged sessions shall be logged and, for designated high-risk roles, recorded in a tamper-resistant format. Recordings are retained per regulatory and contractual requirements. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AU-2, AU-12, AC-17(1) |
| Phishing-resistant MFA is mandatory for all privileged authentication. Privileged authentication shall traverse a dedicated path (e.g., privileged access workstation or compliant device + conditional access for high-sensitivity targets). | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-2(11) · [NIST 800-63](https://pages.nist.gov/800-63-3/)-3B AAL3 |
| Separate privileged credentials from standard user credentials. Administrative work shall not be performed from the user's daily-driver account. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6(5) · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.5 |

### 6.3 Break-Glass / Emergency Access

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Maintain documented break-glass procedures for critical platforms (IdP, cloud control plane, OT control systems). Procedures define when break-glass is permitted, how to invoke it, who is notified, and the post-use review. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-6, IR-4 |
| Break-glass credentials shall be vaulted, dual-controlled, alarmed on use, and rotated after each use. The credential check-out and check-in shall be logged. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-5 · [NIST CSF 2.0](https://www.nist.gov/cyberframework) PR.AA |
| Test break-glass procedures at least annually. Document the test, validate the credential is usable, and confirm alerting fires. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) CP-4 |

---

## 7. Remote, Vendor, and Third-Party Access

### 7.1 Remote Access

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| All remote access to organizational assets shall be authorized, MFA-enforced, logged, and routed through a documented secure path (VPN, zero-trust access broker, SSE, or equivalent). | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-17 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.12 |
| Remote administrative access shall require additional controls: phishing-resistant MFA, compliant or managed endpoint, and where applicable, session recording. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-17(2)(3) · CIP-005-6 R2 |
| Remote access to BES Cyber Systems shall traverse an Intermediate System per [CERG-STD-OT-001](CERG-STD-OT-001_Grid_Control_Systems_Security_Standard.md) and NERC-CIP CIP-005 R2 requirements. | Engineering / Governance | NERC-CIP CIP-005 R2 · [CERG-STD-OT-001](CERG-STD-OT-001_Grid_Control_Systems_Security_Standard.md) |
| Split-tunnel VPN configurations are prohibited for sessions accessing Restricted-tier data or privileged functions, unless a documented exception with compensating controls is approved. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-17(3) |

### 7.2 Vendor and Third-Party Access

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Vendor and third-party accounts shall be sponsored by an internal accountable manager, scope-limited, time-bound, and reviewed at least quarterly. Vendor accounts without an active engagement shall be disabled. | Governance / Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) PS-7, AC-2 · CIP-004-6 |
| Vendor remote access to in-scope systems shall use phishing-resistant MFA, traverse the secure remote access path, and be logged with session attribution. Persistent vendor connections require Engineering and CISO approval. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-17 · CIP-005-6 R2 |
| Vendor access to BES Cyber Systems, CUI environments, or [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204)-relevant systems requires contractual security obligations matching this standard and is subject to additional approval per the applicable peer standard. | Governance / Risk | DFARS 252.204-7012 · CIP-013-2 |
| Detect and alert on use of vendor credentials outside contracted maintenance windows or from anomalous source locations. | Risk / Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) SI-4(2) · CIP-007-6 R4 |

---

## 8. Identity Lifecycle (Joiner / Mover / Leaver)

### 8.1 Joiner

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| New workforce identities shall be provisioned only after the authoritative source (HRIS / contractor system) records the relationship. Pre-start provisioning is permitted only where the workflow logs the future effective date. | Engineering / Governance | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(1) |
| Baseline access shall be limited to role-defined entitlements. Additional access requires the workflow-based request and approval process. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.1.5 |
| Personnel screening required by contract or regulation (e.g., NERC-CIP CIP-004 PRA, CUI personnel screening) shall be completed and documented before access is granted. | Governance / HR | CIP-004-6 R3 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.9.1 |

### 8.2 Mover (Role Change)

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Role-change events from the authoritative source shall trigger an authorization review. Entitlements no longer required by the new role shall be revoked, not retained. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(2) · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC |
| Movers into privileged roles trigger PAM enrollment, additional training, and SoD review. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-5, AC-6 · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC |
| Long-duration accumulation of entitlements ("entitlement creep") is detected through the access review program and remediated. | Governance / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(7) |

### 8.3 Leaver

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Workforce access shall be disabled on or before the documented separation date. For BES Cyber Systems, access revocation timelines comply with CIP-004 (24 hours for terminations). | Engineering | CIP-004-6 R4 · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(3) |
| Service accounts and tokens owned by the leaver shall be reassigned or decommissioned. Personally created automation, scripts, and API keys are inventoried and transitioned. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(3), IA-5 |
| Federated and external system access (SaaS local accounts not behind SSO, third-party portals) shall be deprovisioned through documented run-books. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2 · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC |
| Termination involving suspected wrongdoing or hostile separation invokes the enhanced offboarding procedure (immediate revocation, session termination, evidence preservation). | Risk / Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IR-4, PS-4(2) |

### 8.4 Service Account Lifecycle

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Every service account shall have a documented owner, purpose, scope, and expiration / review date. Ownerless service accounts are remediated within the cycle defined in the access review program. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2, IA-2 |
| Service-account credentials shall be vaulted in the secrets manager and rotated on a defined cadence appropriate to risk. Static, never-rotated credentials are an exception case. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IA-5 · [NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final) 3.5.10 |
| Service accounts shall not be used for interactive logins. Where vendor software requires interactive use of a service account, document the exception and apply session monitoring. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2, AU-2 |

---

## 9. Access Review and Recertification

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Conduct access reviews on a defined cadence per system tier: privileged roles (quarterly), Tier 1 systems / [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204)-relevant (quarterly), Tier 2 systems (semi-annual), Tier 3 systems (annual). | Governance | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(7) · CIP-004-6 R4.2 |
| Reviews require evidence of an active, attributable decision by the accountable manager or resource owner. "Rubber-stamp" approvals (single-click bulk approve without review) are non-compliant. | Governance | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(7) |
| Review findings - terminated users with active access, role mismatches, SoD violations, dormant accounts - shall be remediated within the SLA defined in the access review procedure. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(3), AC-2(13) |
| Recertify external (vendor / contractor) identities at least quarterly. Inactive external identities (no successful authentication in 60 days) are disabled pending sponsor confirmation. | Engineering / Governance | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) PS-7, AC-2 |
| Maintain access-review evidence in the audit evidence library per regulatory retention requirements. | Governance | [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC · [CMMC](https://dodcio.defense.gov/CMMC/) CA.L2-3.12.4 |

---

## 10. Monitoring, Logging, and Detection

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Centralize identity-related logs from: IdP, MFA, PAM, directory services, conditional access, OAuth grant events, and Tier 1 SaaS authentication. Retain per regulatory requirement (minimum 12 months). | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AU-2, AU-11 |
| Detect and alert on identity attack indicators: impossible travel, atypical sign-in, MFA fatigue patterns, legacy auth attempts, OAuth grant anomalies, password spray, token theft / replay, and privileged role assignments outside change windows. | Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) SI-4(5), AU-6 · MITRE ATT&CK T1078 |
| Detect and respond to dormant account use. Accounts inactive beyond a defined threshold shall be disabled automatically. | Engineering | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AC-2(3) · [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC |
| Privileged role assignments, role-permission changes, and changes to MFA or conditional access policy shall generate alerts and be reconciled to an approved change ticket. | Engineering / Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) AU-6, CM-3 |
| Integrate identity telemetry with the SIEM and the centralized incident response process. Identity-detected events have defined containment playbooks (force sign-out, revoke session, disable account, reset credentials). | Risk | [NIST 800-53](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final) IR-4, SI-4 |

---

---

## 11. Non-Human Identity and Identity Threat Detection

### 11.1 Non-Human Identity (NHI) Management

> **Service Accounts, API Keys, OAuth Tokens, Workload Identities, and Machine Credentials Are Identities Too**  
> NHIs frequently outnumber human identities 10:1 in modern estates. They authenticate to systems, access data, and can be abused for lateral movement. CERG treats NHI management with equivalent rigor to workforce identity.

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| All NHIs shall be inventoried in a central registry with: owner, purpose, scope, authentication method, rotation cadence, and expiration / review date. | Engineering / Governance | NIST 800-53 IA-2, AC-2 · NIST 800-171 3.5.10 |
| NHI credentials (API keys, tokens, certificates, client secrets) shall be vaulted in an approved secrets manager. Plaintext NHI credentials in source repos, IaC, container images, CI variables, or chat tools are prohibited. | Engineering | NIST 800-53 IA-5(7) · OWASP ASVS |
| NHIs shall use least-privilege, scoped permissions. Wildcard or admin-scoped NHIs require documented exception with compensating controls. | Engineering / Governance | NIST 800-53 AC-6 · NIST 800-171 3.1.5 |
| NHI rotation: service-account keys ≤ 90 days; OAuth client secrets ≤ 180 days; workload identities (cloud managed) per platform rotation; certificates per CERG-STD-CR-001. Expired NHIs are auto-disabled. | Engineering | NIST 800-53 IA-5 · CIS Controls 4.5 |
| NHIs shall not be used for interactive login. Vendor software requiring interactive NHI use shall be documented as exception with session monitoring. | Engineering / Risk | NIST 800-53 AC-2, AU-2 |
| Cross-environment NHI federation (e.g., GitHub Actions → AWS workload identity, SaaS OAuth grants) shall be mapped in the NHI registry with trust boundaries documented. | Engineering | NIST 800-53 IA-8 · CSA CCM IAM-13 |

### 11.2 Identity Threat Detection & Response (ITDR)

| **Requirement** | **CERG Owner** | **Regulatory Reference** |
|---|---|---|
| Deploy ITDR capabilities covering: impossible travel for NHIs, token replay/anomalous use, OAuth grant anomalies, privilege escalation via NHI, dormant NHI activation, and MFA bypass on service principals. | Risk | NIST 800-53 SI-4(5), AU-6 · MITRE ATT&CK T1078, T1550 |
| Identity telemetry (IdP, MFA, PAM, cloud IAM, Tier 1 SaaS audit logs) shall be normalized and correlated in the SIEM. NHI activity shall be distinguishable from human activity in alerts. | Risk / Engineering | NIST 800-53 AU-2, AU-6, SI-4 |
| Containment playbooks for NHI compromise: auto-revoke token, rotate secret, disable NHI, force re-authentication of dependent workloads, notify NHI owner. Mean time to containment target: ≤ 30 min for Critical NHI paths. | Risk | NIST 800-53 IR-4(1), IR-4(2) |
| NHI risk posture reported quarterly to CISO: NHI count by type, rotation compliance, stale NHI count, ITDR alert volume and false-positive rate. | Risk / Governance | NIST CSF 2.0 DE.CM, GV.RR |

---

## 12. Regulatory and Framework Alignment Summary

| **Requirement Area** | **[NIST CSF 2.0](https://csrc.nist.gov/pubs/cswp/29/the-nist-cybersecurity-framework-csf-20/final)** | **[NIST 800-53r5](https://csrc.nist.gov/pubs/sp/800/53/r5/upd1/final)** | **[NIST 800-171](https://csrc.nist.gov/pubs/sp/800/171/r3/final)** | **NERC-CIP** | **[CMMC L2](https://dodcio.defense.gov/CMMC/)** | **[SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC** |
|---|---|---|---|---|---|---|
| Identity Foundation / SSO | PR.AA | IA-2, IA-8, AC-2 | 3.5.1, 3.5.2 | CIP-004 R4 | IA.L2-3.5.1 | Access |
| MFA & Authenticator Strength | PR.AA | IA-2(1)(2)(11) | 3.5.3 | CIP-005 R2 | IA.L2-3.5.3 | Access |
| Credential & Secrets Mgmt | PR.AA | IA-5, IA-5(1)(7) | 3.5.7–3.5.10 | CIP-007 R5 | IA.L2-3.5.7 | Access |
| Least Privilege & Authorization | PR.AA | AC-3, AC-6 | 3.1.5 | CIP-004 R4 | AC.L2-3.1.5 | Access / SoD |
| Privileged Access (PAM, JIT) | PR.AA | AC-6(2)(5), AU-12 | 3.1.5 | CIP-007 R5 | AC.L2-3.1.5 | Access |
| Remote & Vendor Access | PR.AA | AC-17, PS-7 | 3.1.12 | CIP-005 R2 | AC.L2-3.1.12 | Access |
| Joiner / Mover / Leaver | PR.AA | AC-2(1)(2)(3) | 3.5.6 | CIP-004 R4 | AC.L2-3.5.6 | Access |
| Access Review / Recert | GV.RR | AC-2(7) | 3.1.5 | CIP-004 R4.2 | AC.L2-3.1.5 | Access |
| Monitoring & Detection | DE.CM | AU-6, SI-4 | 3.3.5 | CIP-007 R4 | AU.L2-3.3.5 | Logging |
| Non-Human Identity Mgmt | PR.AA | IA-2, IA-5, AC-2 | 3.5.10 | CIP-007 R5 | IA.L2-3.5.7 | Access |
| ITDR | DE.CM | AU-6, SI-4, IR-4 | 3.3.5 | CIP-007 R4 | AU.L2-3.3.5 | Logging |

---

## 13. Exceptions and Escalation

| **Exception Type** | **Approval Required** | **Process** | **Review Cycle** |
|---|---|---|---|
| Standard exception (non-privileged, non-regulated) | Engineering Pillar Leader + Governance Pillar Leader | Risk register entry with compensating control documentation. | Annual |
| Privileged access exception | CISO | PAM-bypass exceptions require enhanced session monitoring and quarterly review. | Quarterly |
| Shared / vendor-required credential | Engineering Pillar Leader + Governance | Vault under PAM, document attribution model, monitor session use. | Annual |
| MFA exception (workforce identity) | CISO | Permitted only for documented technical limitations; compensating controls required (e.g., source-IP restrictions, enhanced monitoring). | Quarterly |
| Standing privileged access (no JIT) | CISO | Risk register entry; session recording required where technically feasible. | Quarterly |
| BES Cyber System access exception | CISO + NERC-CIP deviation as applicable | Follow [CERG-STD-OT-001](CERG-STD-OT-001_Grid_Control_Systems_Security_Standard.md) §11 escalation. | Per CIP-mitigation milestones |
| CUI-environment access exception | CISO; POA&M entry | Follow [CERG-STD-CUI-001](CERG-STD-CUI-001_CUI_Handling_Standard.md) §11. | Per POA&M plan |
| Emergency / break-glass use | CISO post-hoc within 24 hours | Alerted at time of use; post-use review and credential rotation. | Per use |

---

## 14. Document Control

| | |
|---|---|
| **Document ID** | CERG-STD-AC-001 |
| **Version** | 1.21 |
| **Approved By** | CISO |
| **Next Review** | Annual / Upon Significant Change |
| **Change Log** | 1.0 - Initial publication. Identity, authentication, authorization, lifecycle. |


### Revision History

| **Version** | **Date** | **Author** | **Change Summary** |
|---|---|---|---|
| 1.0 DRAFT | 2026 | CERG Governance | Initial release - identity, authentication, authorization, lifecycle |

### Review Triggers

- Material change to the organization's IdP, MFA, PAM, or secrets management platforms
- Revisions to [NIST 800-63](https://pages.nist.gov/800-63-3/), 800-53, 800-171, NERC-CIP, [CMMC](https://dodcio.defense.gov/CMMC/), or [SOX](https://www.govinfo.gov/app/details/PLAW-107publ204) ITGC guidance that materially affect requirements
- Significant identity-related incident
- Internal audit or regulatory finding affecting access control
- Direction from the CISO

Governance owns this document. The Governance Pillar Leader is responsible for initiating reviews, managing the revision cycle, and obtaining CISO approval for all changes.

### Related Documents

| **Document** | **ID** | **Relationship** |
|---|---|---|
| Cybersecurity Policy | [CERG-POL-001](../governance/CERG-POL-001_Cybersecurity_Policy.md) | Parent policy - this standard is subordinate |
| Grid and Control System Standard | [CERG-STD-OT-001](CERG-STD-OT-001_Grid_Control_Systems_Security_Standard.md) | Peer standard - BES Cyber System access provisions apply in addition |
| IT (Hosted/Cloud/SaaS) Security Standard | [CERG-STD-IT-001](CERG-STD-IT-001_IT_Cloud_SaaS_Security_Standard.md) | Peer standard - cloud/SaaS-specific provisions apply in addition |
| CUI Handling Standard | [CERG-STD-CUI-001](CERG-STD-CUI-001_CUI_Handling_Standard.md) | Peer standard - CUI-specific access requirements apply in addition |
| Access Management Runbook | [CERG-PRC-AC-002](../procedures/CERG-PRC-AC-002_Access_Management_Runbook.md) | Operating procedure implementing this standard |
