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NIST SP 800-171 CUI Protection Center

03.03 — Audit and Accountability

Study this CUI requirement family as a connected set of implementation decisions, evidence expectations, and assessment procedures.

8Active requirements
1Withdrawn records
6Parameters
30Assessment objectives

CUI requirement family

Audit and Accountability

Use this family as a planning boundary, but assess every applicable requirement against the real CUI system boundary, inherited services, organization-defined parameters, and operational evidence.

8 active1 withdrawnRevision 3
AU

Family catalog

Requirements and assessment procedures.

Withdrawn records remain available and link to the requirements where their intent was incorporated or addressed.

03.03.01Active

Event Logging

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 func

03.03.02Active

Audit Record Content

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). Deta

03.03.03Active

Audit Record Generation

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 reco

03.03.04Active

Response to Audit Logging Process Failures

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,

03.03.05Active

Audit Record Review, Analysis, and Reporting

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 hu

03.03.06Active

Audit Record Reduction and Report Generation

Audit records are generated in 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 audi

03.03.07Active

Time Stamps

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

03.03.08Active

Protection of Audit Information

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 autho

03.03.09Withdrawn

Withdrawn requirement

Withdrawn NIST SP 800-171 Rev. 3 requirement 03.03.09; use the recorded replacement relationships.