AU-10(1)_association-of-identities

AU-10(1) Association of Identities

Enhancement of: AU-10

High-Level Description

Family: Audit and Accountability (AU) Framework: NIST SP 800-53 Rev 5

Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors.

What to Check

• Verify AU-10(1) Association of Identities is documented in SSP
• Validate all 2 control requirements are implemented
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-10(1)
• Verify enhancement builds upon base control AU-10

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-10(1) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Bind the identity of the information producer with the information to [organization-defined] ; and Provide the means for authorized individuals to determine the identity of the producer of the information.

Implementation Guidance

Binding identities to the information supports audit requirements that provide organizational personnel with the means to identify who produced specific information in the event of an information transfer. Organizations determine and approve the strength of attribute binding between the information producer and the information based on the security category of the information and other relevant risk factors.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-10(1)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (AC-4, AC-16) reviewed