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AU-6(1) AU · Audit and Accountability

Automated Process Integration

LOW ✓ MODERATE ✓ HIGH
1 Overlay 1 Related Control
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Requirements NIST SOURCE

Integrate audit record review, analysis, and reporting processes using [automated mechanisms].

Discussion (NIST Supplemental Guidance)

Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.

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-6(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. automated mechanisms used for integrating audit record review, analysis, and reporting processes are defined;
  2. audit record review, analysis, and reporting processes are integrated using <AU-06(01)_ODP automated mechanisms>.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing audit review, analysis, and reporting; procedures addressing investigation and response to suspicious activities; system design documentation; system configuration settings and associated documentation; system audit records; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with audit review, analysis, and reporting responsibilities; organizational personnel with information security and privacy responsibilities].

Test

[SELECT FROM: Automated mechanisms integrating audit review, analysis, and reporting processes].

Overlays

Showing the OT/ICS overlay for the parent control AU-6 — see the AU-6(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

Excluded — not selected in the OT baseline at this tier, though the standard SP 800-53 baseline includes the base control.

MODERATE

  • Base control: Included (matches standard baseline)
  • Included: (1) (3)

HIGH

  • Base control: Included (matches standard baseline)
  • Included: (1) (3) (5) (6)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-6(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

  • Automated mechanisms integrating audit review, analysis, and reporting processes

Other Records

  • procedures addressing audit review, analysis, and reporting
  • procedures addressing investigation and response to suspicious activities
  • system audit records
  • other relevant documents or records