← AU-5
AU-5(4) AU · Audit and Accountability

Shutdown on Failure

LOW MODERATE HIGH
1 Overlay 1 Related Control
Graph
Export ▾

Requirements NIST SOURCE

Invoke a [one of: full system shutdown; partial system shutdown; degraded operational mode with limited mission or business functionality available] in the event of [audit logging failures] , unless an alternate audit logging capability exists.

Discussion (NIST Supplemental Guidance)

Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.

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(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. one or more of the following PARAMETER VALUES is/are selected: {full system shutdown; partial system shutdown; degraded operational mode with limited mission or business functionality available};
  2. audit logging failures that trigger a change in operational mode are defined;
  3. <AU-05(04)_ODP[01] SELECTED PARAMETER VALUES> is/are invoked in the event of <AU-05(04)_ODP[02] audit logging failures> , unless an alternate audit logging capability exists.

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].

Test

[SELECT FROM: System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure].

Overlays

Showing the OT/ICS overlay for the parent control AU-5 — see the AU-5(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) (2)

STIGs & CCIs

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

Testing

  • System capability invoking system shutdown or degraded operational mode in the event of an audit processing failure

Other Records

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