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AU-3(1) AU · Audit and Accountability

Additional Audit Information

LOW ✓ MODERATE ✓ HIGH
1 Overlay 0 Related Controls
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Requirements NIST SOURCE

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

Discussion (NIST Supplemental Guidance)

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.

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(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. additional information to be included in audit records is defined;
  2. generated audit records contain the following <AU-03(01)_ODP additional information>.

Examine

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

Test

[SELECT FROM: system audit capability].

Overlays

Showing the OT/ICS overlay for the parent control AU-3 — see the AU-3(1) 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)
  • 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(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
  • system security plan
  • privacy plan

Configuration

  • system design documentation
  • system configuration settings and associated documentation

Testing

  • system audit capability

Other Records

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