AU-12 AU · Audit and Accountability

Audit Record Generation

✓ LOW ✓ MODERATE ✓ HIGH
4 Enhancements 1 Overlay 19 Related Controls
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Requirements NIST SOURCE

Discussion (NIST Supplemental Guidance)

Audit records can be generated from many different system components. The event types specified in AU-2d are the event types for which audit logs are to be generated and are a subset of all event types for which the system can generate audit records.

Enhancements NIST SOURCE

AU-12(1) System-wide and Time-correlated Audit Trail LOW MODERATE ✓ HIGH

Compile audit records from [system components] into a system-wide (logical or physical) audit trail that is time-correlated to within [level of tolerance].

Discussion

Audit trails are time-correlated if the time stamps in the individual audit records can be reliably related to the time stamps in other audit records to achieve a time ordering of the records within organizational tolerances.

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AU-12(2) Standardized Formats LOW MODERATE HIGH

Produce a system-wide (logical or physical) audit trail composed of audit records in a standardized format.

Discussion

Audit records that follow common standards promote interoperability and information exchange between devices and systems. Promoting interoperability and information exchange facilitates the production of event information that can be readily analyzed and correlated. If logging mechanisms do not conform to standardized formats, systems may convert individual audit records into standardized formats when compiling system-wide audit trails.

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AU-12(3) Changes by Authorized Individuals LOW MODERATE ✓ HIGH

Provide and implement the capability for [individuals or roles] to change the logging to be performed on [system components] based on [selectable event criteria] within [time thresholds].

Discussion

Permitting authorized individuals to make changes to system logging enables organizations to extend or limit logging as necessary to meet organizational requirements. Logging that is limited to conserve system resources may be extended (either temporarily or permanently) to address certain threat situations. In addition, logging may be limited to a specific set of event types to facilitate audit reduction, analysis, and reporting. Organizations can establish time thresholds in which logging actions are changed (e.g., near real-time, within minutes, or within hours).

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AU-12(4) Query Parameter Audits of Personally Identifiable Information LOW MODERATE HIGH

Provide and implement the capability for auditing the parameters of user query events for data sets containing personally identifiable information.

Discussion

Query parameters are explicit criteria that an individual or automated system submits to a system to retrieve data. Auditing of query parameters for datasets that contain personally identifiable information augments the capability of an organization to track and understand the access, usage, or sharing of personally identifiable information by authorized personnel.

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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-12 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. system components that provide an audit record generation capability for the events types (defined in AU-02_ODP[02]) are defined;
  2. personnel or roles allowed to select the event types that are to be logged by specific components of the system is/are defined;
  3. audit record generation capability for the event types the system is capable of auditing (defined in AU-02_ODP[01]) is provided by <AU-12_ODP[01] system components>;
  4. <AU-12_ODP[02] personnel or roles> is/are allowed to select the event types that are to be logged by specific components of the system;
  5. audit records for the event types defined in AU-02_ODP[02] that include the audit record content defined in AU-03 are generated.

Examine

[SELECT FROM: Audit and accountability policy; procedures addressing audit record generation; system security plan; privacy plan; system design documentation; system configuration settings and associated documentation; list of auditable events; system audit records; other relevant documents or records].

Interview

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

Test

[SELECT FROM: Mechanisms implementing audit record generation capability].

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)
  • Included: (1) (3)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-12. 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

Logging

  • procedures addressing audit record generation

Testing

  • Mechanisms implementing audit record generation capability

Other Records

  • list of auditable events
  • system audit records
  • other relevant documents or records