+AU-05 Response to Audit Logging Process Failures
---+AU-05(01) Storage Capacity Warning
---+AU-05(02) Real-time Alerts
---+AU-05(03) Configurable Traffic Volume Thresholds
---+AU-05(04) Shutdown on Failure
---+AU-05(05) Alternate Audit Logging Capability
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AU-05 Response to Audit Logging Process Failures
Control
- Alert [Assignement: personnel or roles] within [Assignement: time period] in the event of an audit logging process failure; and
- Take the following additional actions: [Assignement: additional actions].
Discussion
Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting 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
- [Assignement: personnel or roles] are alerted in the event of an audit logging process failure within [Assignement: time period];
- [Assignement: additional actions] are taken in the event of an audit logging process failure.
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
list of personnel to be notified in case of an audit processing failure
system audit records
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
1. Prezentare generală
| Titlu |
Standard |
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AU-05(01) Storage Capacity Warning
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Control
Provide a warning to [Assignement: personnel, roles, and/or locations] within [Assignement: time period] when allocated audit log storage volume reaches [Assignement: percentage] of repository maximum audit log storage capacity.
Discussion
Organizations may have multiple audit log storage repositories distributed across multiple system components with each repository having different storage volume capacities.
Assessment Objective
a warning is provided to [Assignement: personnel, roles, and/or locations] within [Assignement: time period] when allocated audit log storage volume reaches [Assignement: percentage] of repository maximum audit log storage capacity.
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy system configuration settings and associated documentation
system audit records
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
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AU-05(02) Real-time Alerts
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Control
Provide an alert within [Assignement: real-time period] to [Assignement: personnel, roles, and/or locations] when the following audit failure events occur: [Assignement: audit logging failure events requiring real-time alerts].
Discussion
Alerts provide organizations with urgent messages. Real-time alerts provide these messages at information technology speed (i.e., the time from event detection to alert occurs in seconds or less).
Assessment Objective
an alert is provided within [Assignement: real-time period] to [Assignement: personnel, roles, and/or locations] when [Assignement: audit logging failure events requiring real-time alerts] occur.
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
system audit records
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
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AU-05(03) Configurable Traffic Volume Thresholds
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Control
Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and [Selection(one-or-more): reject; delay] network traffic above those thresholds.
Discussion
Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity.
Assessment Objective
- configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced;
- network traffic is [Selection(one-or-more): reject; delay] if network traffic volume is above configured thresholds.
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
system audit records
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
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AU-05(04) Shutdown on Failure
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Control
Invoke a [Selection(one-or-more): full system shutdown; partial system shutdown; degraded operational mode with limited mission or business functionality available] in the event of [Assignement: audit logging failures] , unless an alternate audit logging capability exists.
Discussion
Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
Assessment Objective
[Selection(one-or-more): full system shutdown; partial system shutdown; degraded operational mode with limited mission or business functionality available] is/are invoked in the event of [Assignement: audit logging failures] , unless an alternate audit logging capability exists.
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
system audit records
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
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AU-05(05) Alternate Audit Logging Capability
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Control
Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements [Assignement: alternate audit logging functionality].
Discussion
Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure.
Assessment Objective
an alternate audit logging capability is provided in the event of a failure in primary audit logging capability that implements [Assignement: alternate audit logging functionality].
Assessment Method
Examine
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
system audit records
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
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1.1 Referințe
1.2 Cerințe identificate
1.3 Reglementări asociate
2. Cerințe identificate
3. Reglementări asociate
Reglementări
| Sursă |
Reglementare |
Tichete legate
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