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AU-10(3) AU · Audit and Accountability

Chain of Custody

LOW MODERATE HIGH
1 Overlay 2 Related Controls
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Requirements NIST SOURCE

Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released.

Discussion (NIST Supplemental Guidance)

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information. In the case of automated reviews, it ensures that only approved review functions are used.

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-10(3) 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. reviewer or releaser credentials are maintained within the established chain of custody for information reviewed or released.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing non-repudiation; system design documentation; system configuration settings and associated documentation; records of information reviews and releases; system audit records; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with information security and privacy responsibilities; system/network administrators; system developers].

Test

[SELECT FROM: Automated mechanisms implementing non-repudiation capability].

Overlays

Showing the OT/ICS overlay for the parent control AU-10 — see the AU-10(3) entries within each baseline below.

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

Not applicable at this tier.

MODERATE

Not applicable at this tier.

HIGH

  • Base control: Included (matches standard baseline)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-10(3). 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
  • system security plan
  • privacy plan

Configuration

  • system design documentation
  • system configuration settings and associated documentation

Testing

  • Automated mechanisms implementing non-repudiation capability

Other Records

  • procedures addressing non-repudiation
  • records of information reviews and releases
  • system audit records
  • other relevant documents or records