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AU-10(1) AU · Audit and Accountability

Association of Identities

LOW MODERATE HIGH
1 Overlay 2 Related Controls
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Requirements NIST SOURCE

Discussion (NIST Supplemental 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.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for AU-10(1) yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. the strength of binding between the identity of the information producer and the information is defined;
  2. the identity of the information producer is bound with the information to <AU-10(01)_ODP strength of binding>;
  3. the means for authorized individuals to determine the identity of the producer of the information is provided.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing non-repudiation; system design documentation; system configuration settings and associated documentation; system audit records; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with information security and privacy responsibilities; system/network administrators; system developers].

Test

[SELECT FROM: Mechanisms implementing non-repudiation capability].

Overlays

Showing the OT/ICS overlay for the parent control AU-10 — see the AU-10(1) entries within each baseline below.

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

Not applicable at this tier.

MODERATE

Not applicable at this tier.

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-10(1). This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Audit and accountability policy
  • system security plan
  • privacy plan

Configuration

  • system design documentation
  • system configuration settings and associated documentation

Testing

  • Mechanisms implementing non-repudiation capability

Other Records

  • procedures addressing non-repudiation
  • system audit records
  • other relevant documents or records