03.03 Audit and Accountability

Statement

• a. Specify the following event types selected for logging within the system: {{ insert: param, A.03.03.01.ODP.01 }}.

• b. Review and update the event types selected for logging {{ insert: param, A.03.03.01.ODP.02 }}.

Guidance

An event is any observable occurrence in a system, including unlawful or unauthorized system activity. Organizations identify event types for which a logging functionality is needed. This includes events that are relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing auditing needs. Event types can include password changes, the execution of privileged functions, failed logons or accesses related to systems, administrative privilege usage, or third-party credential usage. In determining event types that require logging, organizations consider the system monitoring and auditing that are appropriate for each of the security requirements. When defining event types, organizations consider the logging necessary to cover related events, such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented or cloud-based architectures. Monitoring and auditing requirements can be balanced with other system needs. For example, organizations may determine that systems must have the capability to log every file access — both successful and unsuccessful — but only activate that capability under specific circumstances due to the potential burden on system performance. The event types that are logged by organizations may change over time. Reviewing and updating the set of logged event types are necessary to ensure that the current set of event types remains relevant.

Assessment objective

the following event types are specified for logging within the system: {{ insert: param, A.03.03.01.ODP.01 }}.

Assessment objective

the event types selected for logging are reviewed {{ insert: param, A.03.03.01.ODP.02 }}.

Assessment objective

the event types selected for logging are updated {{ insert: param, A.03.03.01.ODP.02 }}.

Assessment method

• audit and accountability policy and procedures procedures for auditable events system design documentation system configuration settings system audit records system auditable events system security plan other relevant documents or records

Assessment method

• personnel with audit and accountability responsibilities personnel with information security responsibilities system administrators

Assessment method

• mechanisms for implementing system auditing

Statement

• a. Include the following content in audit records:

  • 01. What type of event occurred

  • 02. When the event occurred

  • 03. Where the event occurred

  • 04. Source of the event

  • 05. Outcome of the event

  • 06. Identity of the individuals, subjects, objects, or entities associated with the event

• b. Provide additional information for audit records as needed.

Guidance

Audit record content that may be necessary to support the auditing function includes time stamps, source and destination addresses, user or process identifiers, event descriptions, file names, and the access control or flow control rules that are invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the system after the event occurred). Detailed information that organizations consider in audit records may include a full text recording of privileged commands or the individual identities of group account users.

Assessment objective

audit records contain information that establishes what type of event occurred.

Assessment objective

audit records contain information that establishes when the event occurred.

Assessment objective

audit records contain information that establishes where the event occurred.

Assessment objective

audit records contain information that establishes the source of the event.

Assessment objective

audit records contain information that establishes the outcome of the event.

Assessment objective

audit records contain information that establishes the identity of the individuals, subjects, objects, or entities associated with the event.

Assessment objective

additional information for audit records is provided, as needed.

Assessment method

• audit and accountability policy and procedures procedures for the content of audit records list of organization-defined auditable events system design documentation system configuration settings system audit records system incident reports system security plan other relevant documents or records

Assessment method

• personnel with audit and accountability responsibilities personnel with information security responsibilities system developers system administrators

Assessment method

• mechanisms for implementing system auditing of auditable events system audit capability

Statement

• a. Generate audit records for the selected event types and audit record content specified in 03.03.01 and 03.03.02.

• b. Retain audit records for a time period consistent with the records retention policy.

Guidance

Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit logging capability and can facilitate the identification of root causes to problems. The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records, including the access control or flow control rules invoked and the individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements.

Assessment objective

audit records for the selected event types and audit record content specified in 03.03.01 and 03.03.02 are generated.

Assessment objective

audit records are retained for a time period consistent with the records retention policy.

Assessment method

• audit and accountability policy and procedures procedures for audit record generation system design documentation list of auditable events system audit records audit record retention policy and procedures organization-defined retention period for audit records audit record archives system configuration settings system security plan other relevant documents or records

Assessment method

• personnel with audit record generation responsibilities personnel with audit record retention responsibilities personnel with information security responsibilities system developers system administrators

Assessment method

• mechanisms for implementing the audit record generation capability

Statement

• a. Alert organizational personnel or roles within {{ insert: param, A.03.03.04.ODP.01 }} in the event of an audit logging process failure.

• b. Take the following additional actions: {{ insert: param, A.03.03.04.ODP.02 }}.

Guidance

Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Response actions include overwriting the oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.

Assessment objective

organizational personnel or roles are alerted in the event of an audit logging process failure within {{ insert: param, A.03.03.04.ODP.01 }}.

Assessment objective

the following additional actions are taken: {{ insert: param, A.03.03.04.ODP.02 }}.

Assessment method

• audit and accountability policy and procedures procedures for responding to audit processing failures system design documentation system configuration settings list of personnel to be notified in case of an audit processing failure system audit records system security plan other relevant documents or records

Assessment method

• personnel with audit and accountability responsibilities personnel with information security responsibilities system developers system administrators

Assessment method

• mechanisms for implementing system response to audit processing failures

Statement

• a. Review and analyze system audit records {{ insert: param, A.03.03.05.ODP.01 }} for indications and the potential impact of inappropriate or unusual activity.

• b. Report findings to organizational personnel or roles.

• c. Analyze and correlate audit records across different repositories to gain organization-wide situational awareness.

Guidance

Audit record review, analysis, and reporting cover information security logging performed by organizations and can include logging that results from the monitoring of account usage, remote access, wireless connectivity, configuration settings, the use of maintenance tools and nonlocal maintenance, system component inventory, mobile device connection, equipment delivery and removal, physical access, temperature and humidity, communications at system interfaces, and the use of mobile code. Findings can be reported to organizational entities, such as the incident response team, help desk, and security or privacy offices. If organizations are prohibited from reviewing and analyzing audit records or unable to conduct such activities, the review or analysis may be carried out by other organizations granted such authority. The scope, frequency, and/or depth of the audit record review, analysis, and reporting may be adjusted to meet organizational needs based on new information received. Correlating audit record review, analysis, and reporting processes helps to ensure that audit records collectively create a more complete view of events.

Assessment objective

system audit records are reviewed and analyzed {{ insert: param, A.03.03.05.ODP.01 }} for indications and the potential impact of inappropriate or unusual activity.

Assessment objective

findings are reported to organizational personnel or roles.

Assessment objective

audit records across different repositories are analyzed to gain organization-wide situational awareness.

Assessment objective

audit records across different repositories are correlated to gain organization-wide situational awareness.

Assessment method

• audit and accountability policy and procedures procedures for audit record review, analysis, and reporting reports of audit record findings records of actions taken in response to reviews and analyses of audit records system design documentation system audit records across different repositories system security plan system configuration settings other relevant documents or records

Assessment method

• personnel with audit record review, analysis, and reporting responsibilities personnel with information security responsibilities

Assessment method

• mechanisms for supporting the analysis and correlation of audit records

Statement

• a. Implement an audit record reduction and report generation capability that supports audit record review, analysis, reporting requirements, and after-the-fact investigations of incidents.

• b. Preserve the original content and time ordering of audit records.

Guidance

Audit records are generated in [](#/cprt/framework/version/SP_800_171_3_0_0/home?element=03.03.03)03.03.03. Audit record reduction and report generation occur after audit record generation. Audit record reduction is a process that manipulates collected audit information and organizes it in a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always come from the same system or organizational entities that conduct auditing activities. An audit record reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can help generate customizable reports. The time ordering of audit records can be a significant issue if the granularity of the time stamp in the record is insufficient.

Assessment objective

an audit record reduction and report generation capability that supports audit record review is implemented.

Assessment objective

an audit record reduction and report generation capability that supports audit record analysis is implemented.

Assessment objective

an audit record reduction and report generation capability that supports audit record reporting requirements is implemented.

Assessment objective

an audit record reduction and report generation capability that supports after-the-fact investigations of incidents is implemented.

Assessment objective

the original content of audit records is preserved.

Assessment objective

the original time ordering of audit records is preserved.

Assessment method

• audit and accountability policy and procedures procedures for audit record reduction and report generation audit record reduction, review, analysis, and reporting tools system audit records system design documentation system configuration settings system security plan other relevant documents or records

Assessment method

• personnel with audit record reduction and report generation responsibilities personnel with information security responsibilities

Assessment method

• mechanisms for supporting audit record reduction and report generation capability

Statement

• a. Use internal system clocks to generate time stamps for audit records.

• b. Record time stamps for audit records that meet {{ insert: param, A.03.03.07.ODP.01 }} and that use Coordinated Universal Time (UTC), have a fixed local time offset from UTC, or include the local time offset as part of the time stamp.

Guidance

Time stamps generated by the system include the date and time. Time is often expressed in Coordinated Universal Time (UTC) — a modern continuation of Greenwich Mean Time (GMT) — or local time with an offset from UTC. The granularity of time measurements refers to the degree of synchronization between system clocks and reference clocks (e.g., clocks synchronizing within hundreds or tens of milliseconds). Organizations may define different time granularities for system components. Time service can be critical to other security capabilities (e.g., access control and identification and authentication), depending on the nature of the mechanisms used to support those capabilities.

Assessment objective

internal system clocks are used to generate time stamps for audit records.

Assessment objective

time stamps are recorded for audit records that use Coordinated Universal Time (UTC), have a fixed local time offset from UTC, or include the local time offset as part of the time stamp.

Assessment objective

time stamps are recorded for audit records that meet {{ insert: param, A.03.03.07.ODP.01 }}.

Assessment method

• audit and accountability policy and procedures procedures for timestamp generation system design documentation system configuration settings system audit records system security plan other relevant documents or records

Assessment method

• personnel with information security responsibilities system developers system administrators

Assessment method

• mechanisms for implementing timestamp generation

Statement

• a. Protect audit information and audit logging tools from unauthorized access, modification, and deletion.

• b. Authorize access to management of audit logging functionality to only a subset of privileged users or roles.

Guidance

Audit information includes the information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are programs and devices used to conduct audit and logging activities. The protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. The physical protection of audit information is addressed by media and physical protection requirements. Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.

Assessment objective

access to management of audit logging functionality is authorized to only a subset of privileged users or roles.

Assessment objective

audit information is protected from unauthorized access, modification, and deletion.

Assessment objective

audit logging tools are protected from unauthorized access, modification, and deletion.

Assessment method

• audit and accountability policy and procedures access control policy and procedures procedures for the protection of audit information system configuration settings system audit records audit tools system-generated list of privileged users with access to the management of audit functionality access authorizations access control list system design documentation system security plan other relevant documents or records

Assessment method

• personnel with audit and accountability responsibilities personnel with information security responsibilities system developers system administrators

Assessment method

• mechanisms for implementing audit information protection mechanisms for managing access to audit functionality