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AU-10(4)—Validate Binding Of Information Reviewer Identity

>Control Description

a

Validate the binding of the information reviewer identity to the information at the transfer or release points prior to release or transfer between ⚙organization-defined security domains; and

b

Perform ⚙organization-defined actions in the event of a validation error.

>Supplemental Guidance

Validating the binding of the information reviewer identity to the information at transfer or release points prevents the unauthorized modification of information between review and the transfer or release. The validation of bindings can be achieved by using cryptographic checksums. Organizations determine if validations are in response to user requests or generated automatically.

>Related Controls

AC-4
AC-16

>Assessment Interview Topics

Questions assessors commonly ask

Process & Governance:

  • •What formal policies and procedures govern the implementation of AU-10(4) (Validate Binding Of Information Reviewer Identity)?
  • •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-10(4)?
  • •How frequently is the AU-10(4) policy reviewed and updated, and what triggers policy changes?
  • •What training or awareness programs ensure personnel understand their responsibilities related to AU-10(4)?

Technical Implementation:

  • •Describe the specific technical mechanisms or controls used to enforce AU-10(4) requirements.
  • •What automated tools, systems, or technologies are deployed to implement AU-10(4)?
  • •How is AU-10(4) integrated into your system architecture and overall security posture?
  • •What configuration settings, parameters, or technical specifications enforce AU-10(4) requirements?

Evidence & Documentation:

  • •What documentation demonstrates the complete implementation of AU-10(4)?
  • •What audit logs, records, reports, or monitoring data validate AU-10(4) compliance?
  • •Can you provide evidence of periodic reviews, assessments, or testing of AU-10(4) effectiveness?
  • •What artifacts would you present during a FedRAMP assessment to demonstrate AU-10(4) compliance?

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