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AU-12(4) AU · Audit and Accountability

Query Parameter Audits of Personally Identifiable Information

LOW MODERATE HIGH
1 Overlay 0 Related Controls
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Requirements NIST SOURCE

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

Discussion (NIST Supplemental Guidance)

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.

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(4) 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. the capability to audit the parameters of user query events for data sets containing personally identifiable information is provided;
  2. the capability to audit the parameters of user query events for data sets containing personally identifiable information is implemented.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing audit record generation; query event records; system design documentation; system configuration settings and associated documentation; map of system data actions; 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

Showing the OT/ICS overlay for the parent control AU-12 — see the AU-12(4) 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

  • 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(4). 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

  • query event records
  • map of system data actions
  • system audit records
  • other relevant documents or records