+AU [P] Audit and Accountability
---+AU-01 [P] Policy and Procedures
---+AU-02 [P] Event Logging
---+AU-03(03) [P] Limit Personally Identifiable Information Elements
---+AU-11 [P] Audit Record Retention

AU [P] Audit and Accountability

Audit and Accountability

1. Übersicht

AU-01 [P] Policy and Procedures

Control

  1. Develop, document, and disseminate to [Assignement: organization-defined personnel or roles]:
    1. [Selection(one-or-more): organization-level; mission/business process-level; system-level] audit and accountability policy that:
      1. Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
    2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
  2. Designate an [Assignement: official] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and
  3. Review and update the current audit and accountability:
    1. Policy [Assignement: frequency] and following [Assignement: events] ; and
    2. Procedures [Assignement: frequency] and following [Assignement: events].

Discussion

Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

Assessment Objective

    1. an audit and accountability policy is developed and documented;
    2. the audit and accountability policy is disseminated to [Assignement: personnel or roles];
    3. audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;
    4. the audit and accountability procedures are disseminated to [Assignement: personnel or roles];
        1. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses purpose;
        2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses scope;
        3. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses roles;
        4. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses responsibilities;
        5. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses management commitment;
        6. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses coordination among organizational entities;
        7. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy addresses compliance;
      2. the [Selection(one-or-more): organization-level; mission/business process-level; system-level] of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
  2. the [Assignement: official] is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;
      1. the current audit and accountability policy is reviewed and updated [Assignement: frequency];
      2. the current audit and accountability policy is reviewed and updated following [Assignement: events];
      1. the current audit and accountability procedures are reviewed and updated [Assignement: frequency];
      2. the current audit and accountability procedures are reviewed and updated following [Assignement: events].

Assessment Method

Examine

Audit and accountability policy and procedures system security plan privacy plan other relevant documents or records

Interview

Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities
AU-02 [P] Event Logging

Control

  1. Identify the types of events that the system is capable of logging in support of the audit function: [Assignement: event types];
  2. Coordinate the event logging function with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;
  3. Specify the following event types for logging within the system: [Assignement: organization-defined event types (subset of the event types defined in [AU-2a.](#au-2_smt.a)) along with the frequency of (or situation requiring) logging for each identified event type];
  4. Provide a rationale for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents; and
  5. Review and update the event types selected for logging [Assignement: frequency].

Discussion

An event is an observable occurrence in a system. The types of events that require logging are those events that are significant and relevant to the security of systems and the privacy of individuals. Event logging also supports specific monitoring and auditing needs. Event types include password changes, failed logons or failed accesses related to systems, security or privacy attribute changes, administrative privilege usage, PIV credential usage, data action changes, query parameters, or external credential usage. In determining the set of event types that require logging, organizations consider the monitoring and auditing appropriate for each of the controls to be implemented. For completeness, event logging includes all protocols that are operational and supported by the system. To balance monitoring and auditing requirements with other system needs, event logging requires identifying the subset of event types that are logged at a given point in time. For example, organizations may determine that systems need the capability to log every file access successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. The types of events that organizations desire to be logged may change. Reviewing and updating the set of logged events is necessary to help ensure that the events remain relevant and continue to support the needs of the organization. Organizations consider how the types of logging events can reveal information about individuals that may give rise to privacy risk and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the logging event is based on patterns or time of usage. Event logging requirements, including the need to log specific event types, may be referenced in other controls and control enhancements. These include [AC-2(4)](#ac-2.4), [AC-3(10)](#ac-3.10), [AC-6(9)](#ac-6.9), [AC-17(1)](#ac-17.1), [CM-3f](#cm-3_smt.f), [CM-5(1)](#cm-5.1), [IA-3(3)(b)](#ia-3.3_smt.b), [MA-4(1)](#ma-4.1), [MP-4(2)](#mp-4.2), [PE-3](#pe-3), [PM-21](#pm-21), [PT-7](#pt-7), [RA-8](#ra-8), [SC-7(9)](#sc-7.9), [SC-7(15)](#sc-7.15), [SI-3(8)](#si-3.8), [SI-4(22)](#si-4.22), [SI-7(8)](#si-7.8) , and [SI-10(1)](#si-10.1) . Organizations include event types that are required by applicable laws, executive orders, directives, policies, regulations, standards, and guidelines. Audit records can be generated at various levels, including at the packet level as information traverses the network. Selecting the appropriate level of event logging is an important part of a monitoring and auditing capability and can identify the root causes of problems. When defining event types, organizations consider the logging necessary to cover related event types, such as the steps in distributed, transaction-based processes and the actions that occur in service-oriented architectures.

Assessment Objective

  1. [Assignement: event types] that the system is capable of logging are identified in support of the audit logging function;
  2. the event logging function is coordinated with other organizational entities requiring audit-related information to guide and inform the selection criteria for events to be logged;
    1. [Assignement: event types (subset of AU-02_ODP[01])] are specified for logging within the system;
    2. the specified event types are logged within the system [Assignement: frequency or situation];
  4. a rationale is provided for why the event types selected for logging are deemed to be adequate to support after-the-fact investigations of incidents;
  5. the event types selected for logging are reviewed and updated [Assignement: frequency].

Assessment Method

Examine

Audit and accountability policy procedures addressing auditable events system security plan privacy plan system design documentation system configuration settings and associated documentation system audit records system auditable events other relevant documents or records

Interview

Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators
AU-03(03) [P] Limit Personally Identifiable Information Elements

Control

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: [Assignement: elements].

Discussion

Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

Assessment Objective

personally identifiable information contained in audit records is limited to [Assignement: elements] identified in the privacy risk assessment.

Assessment Method

Examine

Audit and accountability policy system security plan privacy plan privacy risk assessment privacy risk assessment results procedures addressing content of audit records system design documentation system configuration settings and associated documentation list of organization-defined auditable events system audit records third party contracts other relevant documents or records

Interview

Organizational personnel with audit and accountability responsibilities organizational personnel with information security and privacy responsibilities system/network administrators system developers
AU-11 [P] Audit Record Retention

Control

Retain audit records for [Assignement: time period] to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.

Discussion

Organizations retain audit records until it is determined that the records are no longer needed for administrative, legal, audit, or other operational purposes. This includes the retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on records retention.

Assessment Objective

audit records are retained for [Assignement: time period] to provide support for after-the-fact investigations of incidents and to meet regulatory and organizational information retention requirements.

Assessment Method

Examine

Audit and accountability policy system security plan privacy plan audit record retention policy and procedures security plan organization-defined retention period for audit records audit record archives audit logs audit records other relevant documents or records

Interview

Organizational personnel with audit record retention responsibilities organizational personnel with information security and privacy responsibilities system/network administrators

1.1 Referenzen

1.2 Identifizierte Anforderungen

1.3 Zugehörige Regulierungen

2. Identifizierte Anforderungen

Anforderungen

3. Zugehörige Regulierungen

Regulierungen