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AU-6(9) AU · Audit and Accountability

Correlation with Information from Nontechnical Sources

LOW MODERATE HIGH
1 Overlay 1 Related Control
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Requirements NIST SOURCE

Correlate information from nontechnical sources with audit record information to enhance organization-wide situational awareness.

Discussion (NIST Supplemental Guidance)

Nontechnical sources include records that document organizational policy violations related to harassment incidents and the improper use of information assets. Such information can lead to a directed analytical effort to detect potential malicious insider activity. Organizations limit access to information that is available from nontechnical sources due to its sensitive nature. Limited access minimizes the potential for inadvertent release of privacy-related information to individuals who do not have a need to know. The correlation of information from nontechnical sources with audit record information generally occurs only when individuals are suspected of being involved in an incident. Organizations obtain legal advice prior to initiating such actions.

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(9) 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. information from non-technical sources is correlated with audit record information to enhance organization-wide situational awareness.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing audit review, analysis, and reporting; system design documentation; system configuration settings and associated documentation; documentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources; list of information types from non-technical sources for correlation with audit information; 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: Mechanisms implementing capability to correlate information from non-technical sources].

Overlays

Showing the OT/ICS overlay for the parent control AU-6 — see the AU-6(9) 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(9). 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

  • Mechanisms implementing capability to correlate information from non-technical sources

Other Records

  • procedures addressing audit review, analysis, and reporting
  • documentation providing evidence of correlated information obtained from audit records and organization-defined non-technical sources
  • list of information types from non-technical sources for correlation with audit information
  • other relevant documents or records