REQ-SOC-001: Access Control Policies

Overview

Purpose: Access control policies and procedures
TSC Reference: CC6.1 - Logical and Physical Access Controls
Category: security, access-control
Priority: High
Framework: SOC 2

Description

Implements comprehensive access control policies and procedures to restrict logical and physical access to systems, data, and facilities to authorized personnel.

Acceptance Criteria

Feature: Access Control Policy Implementation
  As a service organization
  I want to implement access control policies
  So that I can meet SOC 2 security requirements

  Background:
    Given the organization provides services to customers
    And SOC 2 compliance is required
    And access control policies are established

  Scenario: User Access Provisioning
    Given a new user requires system access
    When access request is submitted
    And manager approval is obtained
    And access level is determined based on role
    Then user account shall be created with appropriate permissions
    And access shall be limited to business need
    And access grant shall be documented

  Scenario: Access Review and Recertification
    Given user accounts exist in the system
    When periodic access review is conducted
    And user roles and responsibilities are verified
    And access appropriateness is assessed
    Then inappropriate access shall be identified
    And access modifications shall be implemented
    And review results shall be documented

  Scenario: Access Termination
    Given an employee leaves the organization
    When termination process is initiated
    And HR notifies IT security team
    And access removal checklist is executed
    Then all system access shall be revoked immediately
    And physical access shall be disabled
    And access termination shall be verified

  Scenario: Privileged Access Management
    Given administrative access is required
    When privileged access request is submitted
    And additional approval is obtained
    And justification is documented
    Then privileged access shall be granted temporarily
    And privileged activities shall be logged
    And access shall be reviewed regularly

  Scenario: Access Control Monitoring
    Given access control systems are operational
    When access attempts are made
    And access logs are generated
    And monitoring systems analyze activity
    Then unauthorized access attempts shall be detected
    And security incidents shall be reported
    And access patterns shall be analyzed

Technical Context

Implementation Requirements

• Access Control Policy: Comprehensive policy defining access control principles and procedures
• Role-Based Access Control (RBAC): Implementation of role-based access management
• User Provisioning System: Automated or semi-automated user account management
• Access Review Process: Regular review and recertification of user access
• Privileged Access Management (PAM): Enhanced controls for administrative access
• Access Monitoring System: Continuous monitoring of access activities and anomalies

System Architecture

interface AccessControlSystem {
  accessControlPolicy: AccessControlPolicy;
  roleBasedAccess: RoleBasedAccessControl;
  userProvisioning: UserProvisioningSystem;
  accessReview: AccessReviewProcess;
  privilegedAccess: PrivilegedAccessManagement;
  accessMonitoring: AccessMonitoringSystem;
}

interface AccessControlPolicy {
  policyDocument: PolicyDocument;
  accessPrinciples: AccessPrinciple[];
  roleDefinitions: RoleDefinition[];
  approvalWorkflows: ApprovalWorkflow[];
  reviewSchedules: ReviewSchedule[];
}

interface UserAccount {
  userId: string;
  userName: string;
  roles: Role[];
  permissions: Permission[];
  accessLevel: AccessLevel;
  creationDate: Date;
  lastReviewDate: Date;
  status: AccountStatus;
}

interface AccessEvent {
  eventId: string;
  userId: string;
  resource: string;
  action: string;
  timestamp: Date;
  sourceIP: string;
  result: AccessResult;
  riskScore: number;
}

Validation Strategy

1. Policy Compliance: Verify access control implementation aligns with documented policies
2. Access Testing: Test user provisioning, modification, and termination processes
3. Privilege Validation: Validate privileged access controls and monitoring
4. Review Process Testing: Test access review and recertification procedures
5. Monitoring Effectiveness: Validate access monitoring and incident response capabilities

Testing Strategy

Access Control Testing

User Lifecycle Testing

• Test new user provisioning process
• Validate role assignment and permission mapping
• Test user modification and role changes
• Verify user termination and access revocation

Privileged Access Testing

• Test privileged access request and approval process
• Validate enhanced authentication for privileged accounts
• Test privileged session monitoring and recording
• Verify privileged access review and rotation

Access Review Testing

• Test periodic access review process
• Validate manager attestation and approval workflows
• Test access modification based on review results
• Verify review documentation and audit trails

Monitoring and Detection Testing

• Test unauthorized access attempt detection
• Validate access anomaly detection capabilities
• Test incident response for access violations
• Verify access log integrity and retention

Implementation Notes

Prerequisites

• Identity and access management (IAM) system implementation
• Role definition and permission mapping
• Access control policy development and approval
• Staff training on access control procedures

Dependencies

• Multi-Factor Authentication (REQ-SOC-002)
• Privileged Access Management (REQ-SOC-003)
• Security Monitoring (REQ-SOC-006)
• Incident Response (REQ-SOC-010)

Constraints

• Must comply with SOC 2 Trust Service Criteria CC6.1
• Must support principle of least privilege
• Must enable segregation of duties for critical functions
• Must provide comprehensive audit trails for all access activities

Compliance Evidence

Required Documentation

• Access Control Policy with procedures and standards
• Role definitions and permission matrices
• User provisioning and termination procedures
• Access review and recertification schedules
• Privileged access management procedures
• Access monitoring and incident response procedures

Audit Trail

• User account creation, modification, and termination records
• Access request and approval documentation
• Periodic access review results and attestations
• Privileged access usage logs and justifications
• Access monitoring alerts and incident response records

Related Requirements

• REQ-SOC-002: Multi-Factor Authentication
• REQ-SOC-003: Privileged Access Management
• REQ-SOC-006: Security Monitoring
• REQ-SOC-013: Authority Verification

Note: Individual requirement template files are generated when using sc init --framework=soc2

Usage Examples

CLI Commands

# Generate this requirement
sc req new --template=REQ-SOC-001 --title="Access Control Policies"

# Validate access control implementation
sc req validate REQ-SOC-001 --framework=soc2

# Generate access control test procedures
sc soc2 test-procedures --requirement=REQ-SOC-001 --type=access-control

Integration Example

// Access control validation
const soc2Validator = new SOC2Validator();
const accessControlSystem = await loadAccessControlSystem();

const accessControlResult = await soc2Validator.validateAccessControl(
  accessControlSystem,
  {
    requirement: 'REQ-SOC-001',
    testUserLifecycle: true,
    validatePrivilegedAccess: true,
    checkAccessReviews: true,
    testMonitoring: true,
  }
);

if (accessControlResult.isCompliant) {
  console.log('Access control compliance verified');

  // Generate compliance report
  const complianceReport = await generateComplianceReport(accessControlResult);
  console.log('Compliance report generated:', complianceReport.reportId);
} else {
  console.log('Access control issues found:', accessControlResult.issues);

  // Generate remediation plan
  const remediationPlan = await generateRemediationPlan(
    accessControlResult.gaps
  );
  console.log('Remediation required:', remediationPlan);
}

Access Control Policy Template

# Access Control Policy Configuration
accessControlPolicy:
  version: '1.0'
  effectiveDate: '2024-01-01'

  principles:
    - leastPrivilege: true
    - segregationOfDuties: true
    - needToKnow: true
    - regularReview: true

  roles:
    - name: 'StandardUser'
      permissions: ['read', 'create', 'update']
      resources: ['application', 'documents']

    - name: 'Administrator'
      permissions: ['read', 'create', 'update', 'delete', 'admin']
      resources: ['application', 'documents', 'system', 'users']
      requiresApproval: true
      reviewFrequency: 'monthly'

  workflows:
    userProvisioning:
      steps: ['request', 'managerApproval', 'securityReview', 'provision']
      timeLimit: '24 hours'

    accessTermination:
      triggers: ['employeeTermination', 'roleChange', 'securityIncident']
      timeLimit: 'immediate'