NIST 800-171 - Account Management (3.1.1)

Overview:
Limit system access to authorized users, processes acting on behalf of authorized users, and devices (including other systems).

Action Items:
3.1.1[a]
Determine if: authorized users are identified.

3.1.1[b]
Determine if: Processes acting on behalf of authorized users are identified.

3.1.1[c]
Determine if: devices (including other systems) authorized to connect to the system are identified.

3.1.1[d]
Determine if: system access is limited to authorized users

3.1.1[e]
Determine if: system access is limited to processes acting on behalf of authorized users.

3.1.1[f]
Determine if: system access is limited to authorized devices (including other systems).

POTENTIAL ASSESSMENT METHODS AND OBJECTS

1
Examine: Access control policy; procedures addressing account management; security plan; system design documentation; system configuration settings and associated documentation; list of active system accounts and the name of the individual associated with each account; list of conditions for group and role membership; notifications or records of recently transferred, separated, or terminated employees; list of recently disabled system accounts along with the name of the individual associated with each account; access authorization records; account management compliance reviews; system monitoring records; system audit logs and records; other relevant documents or records; list of devices and other systems authorized to connect to organizational systems].

2
Interview: Personnel with account management responsibilities; system or network administrators; personnel with information security responsibilities].

3
Test: Organizational processes for managing system accounts; mechanisms for implementing account management].

Related Documents:
1) Access control policy
2) procedures addressing account management
3) system security plan
4) system design documentation
5) system configuration settings and associated documentation
6) list of active system accounts and the name of the individual associated with each account
7) notifications or records of recently transferred, separated, or terminated employees
8) list of conditions for group and role membership
9) list of recently disabled system accounts along with the name of the individual associated with each account
10) access authorization records
11) account management compliance reviews
12) system monitoring records
13) system audit logs and records
14) list of devices and systems authorized to connect to organizational systems
15) other relevant documents or records

Additional Guidance:
Access control policies (e.g., identity- or role-based policies, control matrices, and cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, and domains) in systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security. Other systems include systems internal and external to the organization. Users requiring administrative privileges on system accounts receive additional scrutiny by organizational personnel responsible for approving such accounts and privileged access.

Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without a demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: when shared/group, emergency, or temporary accounts are no longer required, or when individuals are transferred or terminated. Some types of system accounts may require specialized training.

This requirement focuses on account management, both system and application. The definition of and enforcement of access authorizations, other than those determined by account type (e.g., privileged verses non-privileged) are addressed in requirement 3.1.2