AU-16(1)_identity-preservation

AU-16(1) Identity Preservation

Enhancement of: AU-16

High-Level Description

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

Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

What to Check

• Verify AU-16(1) Identity Preservation is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-16(1)
• Verify enhancement builds upon base control AU-16

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-16(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

Preserve the identity of individuals in cross-organizational audit trails.

Implementation Guidance

Identity preservation is applied when there is a need to be able to trace actions that are performed across organizational boundaries to a specific individual.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-16(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 (IA-2, IA-4, IA-5, IA-8) reviewed