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AU-7(1) AU · Audit and Accountability

Automatic Processing

LOW ✓ MODERATE ✓ HIGH
1 Overlay 0 Related Controls
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Requirements NIST SOURCE

Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: [fields within audit records].

Discussion (NIST Supplemental Guidance)

Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.

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-7(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. fields within audit records that can be processed, sorted, or searched are defined;
  2. the capability to process, sort, and search audit records for events of interest based on <AU-07(01)_ODP fields within audit records> are provided;
  3. the capability to process, sort, and search audit records for events of interest based on <AU-07(01)_ODP fields within audit records> are implemented.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; procedures addressing audit reduction and report generation; system design documentation; system configuration settings and associated documentation; audit reduction, review, analysis, and reporting tools; audit record criteria (fields) establishing events of interest; system audit records; other relevant documents or records].

Interview

[SELECT FROM: Organizational personnel with audit reduction and report generation responsibilities; organizational personnel with information security and privacy responsibilities; system developers].

Test

[SELECT FROM: Audit reduction and report generation capability].

Overlays

Showing the OT/ICS overlay for the parent control AU-7 — see the AU-7(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

Not applicable at this tier.

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-7(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

Logging

  • audit record criteria (fields) establishing events of interest

Testing

  • Audit reduction and report generation capability

Other Records

  • procedures addressing audit reduction and report generation
  • audit reduction, review, analysis, and reporting tools
  • system audit records
  • other relevant documents or records