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AU-5(3) AU · Audit and Accountability

Configurable Traffic Volume Thresholds

LOW MODERATE HIGH
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Requirements NIST SOURCE

Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and [one of: reject; delay] network traffic above those thresholds.

Discussion (NIST Supplemental Guidance)

Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity.

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-5(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. one or more of the following PARAMETER VALUES is/are selected: {reject; delay};
  2. configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity are enforced;
  3. network traffic is <AU-05(03)_ODP SELECTED PARAMETER VALUES> if network traffic volume is above configured thresholds.

Examine

[SELECT FROM: Audit and accountability policy; procedures addressing response to audit processing failures; system design documentation; system security plan; privacy plan; system configuration settings and associated documentation; 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].

Overlays

Showing the OT/ICS overlay for the parent control AU-5 — see the AU-5(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)

HIGH

  • Base control: Included (matches standard baseline)
  • Included: (1) (2)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-5(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

Other Records

  • procedures addressing response to audit processing failures
  • system audit records
  • other relevant documents or records