NIST SP 800-171 Rev 2 · 3.5 Identification & Authentication
3.5.1 Identify users, processes and devices
Identify system users, processes acting on behalf of users, and devices.
- SPRS weight
- 5
- 5 points deducted from 110 when not implemented.
- CMMC level
- L1 + L2
- Level 1 practice IA.L1-3.5.1, from FAR 52.204-21(b)(1)(v)
- Assessment objectives
- 3
- From NIST SP 800-171A, each one a “determine if” an assessor answers.
What an assessor checks
NIST SP 800-171A breaks 3.5.1 into 3 objectives. Every one has to be met for the requirement to be met; a partial answer scores as not implemented.
- [a]Determine if system users are identified.
- [b]Determine if processes acting on behalf of users are identified.
- [c]Determine if devices accessing the system are identified.
- Examine
- [SELECT FROM: Identification and authentication policy; procedures addressing user identification and authentication; security plan, system design documentation; system configuration settings and associated documentation; system audit logs and records; list of system accounts; other relevant documents or records].
- Interview
- [SELECT FROM: Personnel with system operations responsibilities; personnel with information security responsibilities; system or network administrators; personnel with account management responsibilities; system developers].
- Test
- [SELECT FROM: Organizational processes for uniquely identifying and authenticating users; mechanisms supporting or implementing identification and authentication capability].
If it is open: POA&M eligibility
Not POA&M-eligible: above the 1-point ceiling · 5 points deducted
Worth 5 points. No requirement over 1 point may appear on a Level 2 POA&M, so this has to be closed before the assessment.
A POA&M is only permitted at a score of 88 or above, and closes in one 180-day window. Check a full gap list or compute your score.
Where 3.5.1 maps
NIST SP 800-53 Rev 5
- AC-2 Account Management
- IA-1 Identification and Authentication Policy
- IA-2 Identification and Authentication
- IA-4 Identifier Management
- IA-8 Identification and Authentication - Non-Organizational Users
- IA-12 Identity Proofing
NIST CSF 2.0
- Identities are managed Identity Management, Authentication and Access Control
SOC 2
No direct mapping.
Query it from your own tools
This page and the MacTech CMMC MCP server render the same dataset. Ask your assistant and it will answer from the methodology, not from memory.
lookup_control 3.5.1 get_assessment_objectives 3.5.1 generate_poam_entries ["3.5.1"]
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