Access by Subset of Privileged Users

LOW ✓ MODERATE ✓ HIGH

1 Overlay 1 Related Control

Requirements NIST SOURCE

Authorize access to management of audit logging functionality to only [subset of privileged users or roles].

Discussion (NIST Supplemental Guidance)

Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.

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-9(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

a subset of privileged users or roles authorized to access management of audit logging functionality is defined;
access to management of audit logging functionality is authorized only to <AU-09(04)_ODP subset of privileged users or roles>.

Examine

[SELECT FROM: Audit and accountability policy; system security plan; privacy plan; access control policy and procedures; procedures addressing protection of audit information; system design documentation; system configuration settings and associated documentation; system-generated list of privileged users with access to management of audit functionality; access authorizations; access control list; 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].

Test

[SELECT FROM: Mechanisms managing access to audit functionality].

Overlays

Showing the OT/ICS overlay for the parent control AU-9 — see the AU-9(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)
Included: (4)

HIGH

Base control: Included (matches standard baseline)
Included: (2) (3) (4)

STIGs & CCIs

No STIG checks or CCI mappings are currently loaded for AU-9(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
access control policy and procedures

Configuration

system design documentation
system configuration settings and associated documentation

Testing

Mechanisms managing access to audit functionality

Other Records

procedures addressing protection of audit information
system-generated list of privileged users with access to management of audit functionality
access authorizations
access control list
system audit records
other relevant documents or records