Access controls vs Audit controls

Access control ensures that only authorized users can interact with systems and data, while audit control provides visibility and accountability during those interactions. 

What are access controls?

Access controls are the mechanisms, policies, and procedures used to regulate who can access specific systems, data, or resources and what actions they can perform. They focus on preventing unauthorized access to sensitive information and ensuring only authorized individuals can interact with critical resources. According to the HIPAA Security Rule, access controls “enable authorized users to access the minimum necessary information needed to perform job functions. Rights and/or privileges should be granted to authorized users based on a set of access rules that the covered entity is required to implement.”

Features of access controls

• Authentication: Verifies the identity of users through methods like passwords, biometrics, or multifactor authentication.
• Authorization: Assigns permissions based on user roles, organizational policies, or individual needs.
• Access levels: Defines privileges such as read, write, execute, or administrative permissions.
• Enforcement: Ensures only users with proper credentials and permissions can access specific resources.

Example

In a healthcare system, access controls ensure that only doctors can view patient medical records, and only IT administrators can modify system configurations.

Read also: Access control systems in healthcare

What is an audit control?

Audit controls involve the processes or systems used to monitor, record, and review actions taken within a system. The primary goal is to detect, document, and provide accountability for activities, particularly those involving sensitive data.

According to HIPAA’s technical safeguards, covered entities must “implement hardware, software, and/or procedural mechanisms that record and examine activity in information systems that contain or use electronic protected health information.”

Features of audit controls

• Logging: Records all access attempts, both successful and unsuccessful, as well as system activities.
• Monitoring: Observes systems in real-time to identify unusual or unauthorized behavior.
• Reporting: Generates detailed records for compliance audits or forensic investigations.
• Retention: Securely stores logs for a specific period based on regulations or organizational policies.

Example

An audit control system in a hospital records every instance of patient record access, documenting the user, timestamp, and purpose of access. This information can be used to ensure compliance with healthcare regulations like HIPAA.

See also: What are the HIPAA audit requirements?

How do they work together?

While access controls act as gatekeeper, ensuring only authorized individuals can interact with sensitive data, audit controls the watchdog, monitoring these interactions to ensure accountability and transparency. Together, they create a robust security framework:

• Prevention and detection: Access controls prevent unauthorized access, while audit controls detect and document attempts, whether successful or not.
• Compliance and reporting: Access controls enforce compliance policies, and audit controls provide evidence during audits or investigations.
• Incident response: Audit logs from audit control systems can help identify the root cause of a breach or policy violation, complementing the preventive role of access control.

See also: HIPAA Compliant Email: The Definitive Guide

FAQs

How do audit controls complement access controls?

While access controls prevent unauthorized access, audit controls monitor and record all access attempts and system interactions. Together, they provide a complete security framework.

Can access and audit controls prevent data breaches?

While they cannot completely prevent breaches, these controls can reduce risks by restricting access and identifying suspicious activities early.

Can the same team manage both controls?

Yes, but best practices often involve separation of duties to prevent conflicts of interest and improve oversight.