AU-3 AU · Audit and Accountability

Content of Audit Records

✓ LOW ✓ MODERATE ✓ HIGH
2 Enhancements 1 Overlay 9 Related Controls
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Requirements NIST SOURCE

Ensure that audit records contain information that establishes the following:

Discussion (NIST Supplemental Guidance)

Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.

Enhancements NIST SOURCE

AU-3(1) Additional Audit Information LOW ✓ MODERATE ✓ HIGH

Generate audit records containing the following additional information: [additional information].

Discussion

The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records including, but not limited to, access control or flow control rules invoked and individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements. This facilitates the use of audit trails and audit logs by not including information in audit records that could potentially be misleading, make it more difficult to locate information of interest, or increase the risk to individuals' privacy.

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AU-3(2) Centralized Management of Planned Audit Record Content WITHDRAWN

Withdrawn. Incorporated into PL-9.

AU-3(3) Limit Personally Identifiable Information Elements LOW MODERATE HIGH

Limit personally identifiable information contained in audit records to the following elements identified in the privacy risk assessment: [elements].

Discussion

Limiting personally identifiable information in audit records when such information is not needed for operational purposes helps reduce the level of privacy risk created by a system.

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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-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. audit records contain information that establishes what type of event occurred;
  2. audit records contain information that establishes when the event occurred;
  3. audit records contain information that establishes where the event occurred;
  4. audit records contain information that establishes the source of the event;
  5. audit records contain information that establishes the outcome of the event;
  6. audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event.

Examine

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

Interview

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

Test

[SELECT FROM: Mechanisms implementing system auditing of auditable events].

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)
  • Included: (1)

HIGH

  • Base control: Included (matches standard baseline)
  • Included: (1)

STIGs & CCIs

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

  • Mechanisms implementing system auditing of auditable events

Other Records

  • procedures addressing content of audit records
  • list of organization-defined auditable events
  • system audit records
  • system incident reports
  • other relevant documents or records