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Controls / Audit and Accountability / 3.3.2
3.3.2
AU.L2-3.3.2 · Level 2

Ensure that the actions of individual system users can be uniquely traced to those users so they…

NIST SP 800-171 Rev 2 · §3.3.2

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

Assessment objectives

From NIST SP 800-171A · 2 objectives must be met to satisfy this control
3.3.2[a] the content of the audit records needed to support the ability to uniquely trace users to their actions is defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.2[b] audit records, once created, contain the defined content.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing audit records and event types; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].

What we look for in practice

The following are placeholder notes that should be refined based on practice experience.

What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.

Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.

Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.

Scoring and POA&M context. 3-point control under the DoD Assessment Methodology. Meaningful but more contained scoring impact. Not POA&M-eligible — must be implemented at assessment time.