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AU-3(3) AU · Audit and Accountability

Limit Personally Identifiable Information Elements

LOW MODERATE HIGH
1 Overlay 1 Related Control
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Requirements NIST SOURCE

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

Discussion (NIST Supplemental Guidance)

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.

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(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. elements identified in the privacy risk assessment are defined;
  2. personally identifiable information contained in audit records is limited to <AU-03(03)_ODP elements> identified in the privacy risk assessment.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; privacy risk assessment; privacy risk assessment results; procedures addressing content of audit records; system design documentation; system configuration settings and associated documentation; list of organization-defined auditable events; system audit records; third party contracts; 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(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

  • 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(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

  • system audit capability

Other Records

  • privacy risk assessment
  • privacy risk assessment results
  • procedures addressing content of audit records
  • list of organization-defined auditable events
  • system audit records
  • third party contracts
  • other relevant documents or records