NIST 800-171 - Unique User Identifier (3.3.2)

Overview:
Ensure that the actions of individual information system users can be uniquely traced to those users so they can be held accountable for their actions.

Action Items:
3.3.2[a]
Determine if: the content of the audit records needed to support the ability to uniquely trace users to their actions is defined.

3.3.2[b]
Determine if: audit records, once created, contain the defined content.

POTENTIAL ASSESSMENT METHODS AND OBJECTS

1
Examine: Audit and accountability policy; procedures addressing audit records and event types; system security plan; system design documentation; system configuration settings and associated documentation; procedures addressing audit record generation; procedures addressing audit review, analysis, and reporting; reports of audit findings; system audit logs and records; system events; system incident reports; other relevant documents or records].

2
Interview: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].

3
Test: Mechanisms implementing system audit logging].

Related Documents (document name and content will vary by organization):
1) Audit and accountability policy
2) procedures addressing audit records and event types
3) system security plan
4) system design documentation
5) system configuration settings and associated documentation
6) procedures addressing audit record generation
7) procedures addressing audit review, analysis, and reporting
8) reports of audit findings
9) system audit logs and records
10) system events
11) system incident reports
12) other relevant documents or records

Additional Guidance:
This requirement ensures that the contents of the audit record include the information needed to link the audit event to the actions of an individual to the extent feasible. Audit record review, analysis, and reporting covers information security-related logging performed by organizations including, for example, logging that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, use of maintenance tools, nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, system component inventory, communications at the system boundaries, use of mobile code, and use of VoIP.

Audit records can be generated from many different system components. The list of event types is the set of events for which logs are to be generated. These events are typically a subset of all events for which the system can generate audit records.