AU-1 AU · Audit and Accountability

Policy and Procedures

✓ LOW ✓ MODERATE ✓ HIGH
1 Overlay 3 Related Controls
Graph
Export ▾

Requirements NIST SOURCE

    1. 1.[one of: organization-level; mission/business process-level; system-level] audit and accountability policy that:
      1. (a)Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
      2. (b)Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
    2. 2.Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
    1. 1.Policy [frequency] and following [events] ; and
    2. 2.Procedures [frequency] and following [events].
Discussion (NIST Supplemental Guidance)

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.

Implementation Guidance

Engineering Interpretation

Original engineering commentary written for this explorer — not NIST source text and not authoritative guidance.

No engineering interpretation has been authored for AU-1 yet. This section is architected to receive it — see the Requirements and Assessment sections above for the authoritative NIST source content in the meantime.

Assessment

NIST SP 800-53A REV 5.2.0

Assessment Objectives

  1. personnel or roles to whom the audit and accountability policy is to be disseminated is/are defined;
  2. personnel or roles to whom the audit and accountability procedures are to be disseminated is/are defined;
  3. one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level};
  4. an official to manage the audit and accountability policy and procedures is defined;
  5. the frequency at which the current audit and accountability policy is reviewed and updated is defined;
  6. events that would require the current audit and accountability policy to be reviewed and updated are defined;
  7. the frequency at which the current audit and accountability procedures are reviewed and updated is defined;
  8. events that would require audit and accountability procedures to be reviewed and updated are defined;
  9. an audit and accountability policy is developed and documented;
  10. the audit and accountability policy is disseminated to <AU-01_ODP[01] personnel or roles>;
  11. audit and accountability procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls are developed and documented;
  12. the audit and accountability procedures are disseminated to <AU-01_ODP[02] personnel or roles>;
  13. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses purpose;
  14. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses scope;
  15. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses roles;
  16. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses responsibilities;
  17. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses management commitment;
  18. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses coordination among organizational entities;
  19. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy addresses compliance;
  20. the <AU-01_ODP[03] SELECTED PARAMETER VALUES> of the audit and accountability policy is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
  21. the <AU-01_ODP[04] official> is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures;
  22. the current audit and accountability policy is reviewed and updated <AU-01_ODP[05] frequency>;
  23. the current audit and accountability policy is reviewed and updated following <AU-01_ODP[06] events>;
  24. the current audit and accountability procedures are reviewed and updated <AU-01_ODP[07] frequency>;
  25. the current audit and accountability procedures are reviewed and updated following <AU-01_ODP[08] events>.

Examine

[SELECT FROM: Audit and accountability policy and procedures; system security plan; privacy plan; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with audit and accountability responsibilities; organizational personnel with information security and privacy responsibilities].

Overlays

OT/ICS Overlay SP 800-82r3

NIST SP 800-82r3 Appendix F, Table 22. Blank baseline means the control/control enhancement is not selected in that initial OT baseline.

LOW

  • Base control: Included (matches standard baseline)

MODERATE

  • Base control: Included (matches standard baseline)

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-1. This section is architected to display, per product: STIG ID, Finding ID, Severity, Title, Description, Check, Fix, CCI, and NIST control mapping — but nothing is populated here until a real DISA STIG/CCI dataset is ingested.

Learn more about STIG/CCI integration →

Evidence

Potential Evidence — Derived

Categorized from the SP 800-53A "Examine"/"Test" artifact list above by keyword — not an authoritative NIST evidence list.

Policy

  • Audit and accountability policy and procedures
  • system security plan
  • privacy plan

Other Records

  • other relevant documents or records