Authentication Review (IAM-002-R009) - IAM-002

Requirement Details & Guidance

IAM-002-R009 · IAM-002

Why This Requirement Exists

This requirement exists to periodically assess authentication controls, methods, policies, and monitoring effectiveness and to ensure identity and access decisions are controlled, traceable, and aligned with business and security needs.

Implementation Guidance

Define and document the process for periodically assess authentication controls, methods, policies, and monitoring effectiveness. Establish accountable owners, required inputs and outputs, approval or validation points, risk-based criteria, review frequency, exception handling, monitoring, and evidence requirements. Integrate the process with authoritative identity sources and relevant HR, application, infrastructure, security, and compliance workflows. Retain records sufficient to demonstrate operation.

Practical Application & Audit Readiness

IAM-002-R009 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

IAM-002 · Recommended Approach

Recommended Practices

Typical Owner

Cross-Mapped Regulatory Frameworks

Harmonized Control Mappings

FRAMEWORK CODE	FRAMEWORK NAME & DETAILS	FAMILY / CATEGORY	VERSION	ACTION
COBIT2019	COBIT COBIT is an enterprise governance and management f... Clause: 4.4 – Deliver, Service and Support (DSS) > DSS05 – Managed Security Services > DSS05.04 – Manage user identity and logical access.	COBIT Governance Framework	v2019	View →
DORA	Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 9(4)(c) – Logical/physical access limitation and access-rights administration Article 9(4)(d) – Strong authentication, cryptographic keys and encryption	EU Regulation	vCurrent	View →
GDPR	General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 32(1)(b) – Confidentiality, integrity, availability and access resilience; Article 29 – Processing under the authority of the controller or processor	EU Regulation	vCurrent	View →
HIPAA	Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement... Clause: § 164.308(a)(10) Standard: Information access management; § 164.312(a) Standard: Access control; § 164.308(a)(10)(ii)(C) Authentication management; § 164.312(f) Standard: Authentication	US Law	vCurrent	View →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §2.3-3.1 – User Identification and Accounts; §2.3-3.6 – Secure log-on; §2.19-3.4.1 – Authentication	India Guideline	vLatest	View →
NIS2	NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(j) – MFA/continuous authentication, secured voice/video/text communications and secured emergency communications	EU Directive	vCurrent	View →
NIST-CSF	NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: PR.AA – Identity Management, Authentication, and Access Control \| PR.AA-05 – Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties	NIST Framework	v2	View →
NIST80053	NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.1 – ACCESS CONTROL; AC-13 – SUPERVISION AND REVIEW — ACCESS CONTROL, AC-2 – ACCOUNT MANAGEMENT	NIST Control Catalog	vRev. 5	View →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Security Measures / Controls; Identity and Access Management – Access Mechanism	India Standard	vLatest	View →
PCI-DSS	PCI DSS PCI DSS is an industry security standard maintaine... Clause: 8.3.8 – Authentication policies and procedures are	PCI Standard	v4	View →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 8) User Access Control / Management – 8.2 Protection of customer access credentials, authentication information and tokens; 8) User Access Control / Management – 8.4 Centralised authentication/authorization, strong passwords, MFA, least privilege and segregation of duties	India Regulation	vLatest	View →
SEBI-CSCRF	SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 3.1 PR.AA: Identity Management, Authentication, and Access Control	India Regulation	vLatest	View →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC6.1 – Logical and Physical Access Controls – The entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity's objectives. CC6.2 – Logical and Physical Access Controls – Prior to issuing system credentials and granting system access, the entity registers and authorizes new internal and external users whose access is administered by the entity. For those users whose access is administered by the entity, user system credentials are removed when user access is no longer authorized. CC4.1 – Monitoring of Controls – COSO Principle 16: The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning.	AICPA Audit Framework	vLatest	View →

Parent Domain Context

Governance Domain Baseline

Domain Name:

Identity & Access Management (IAM)

Purpose:

To ensure that only authorized users have appropriate access to systems and data.

Scope:

Enterprise

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Parent Control Context

Control Baseline

Control Name:

Authentication Management (IAM-002)

Summary:

Establishes and enforces strong authentication policies and mechanisms including multi-factor authentication, password policies, credential management, and adaptive authentication across all users and systems.

Business Description:

Manage and enforce strong authentication mechanisms for all users and systems.

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