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AU-9(5) AU · Audit and Accountability

Dual Authorization

LOW MODERATE HIGH
1 Overlay 1 Related Control
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Requirements NIST SOURCE

Enforce dual authorization for [one of: movement; deletion] of [audit information].

Discussion (NIST Supplemental Guidance)

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

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(5) 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: {movement; deletion};
  2. audit information for which dual authorization is to be enforced is defined;
  3. dual authorization is enforced for the <AU-09(05)_ODP[01] SELECTED PARAMETER VALUES> of <AU-09(05)_ODP[02] audit information>.

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; access authorizations; 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 implementing the enforcement of dual authorization].

Overlays

Showing the OT/ICS overlay for the parent control AU-9 — see the AU-9(5) 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(5). 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 implementing the enforcement of dual authorization

Other Records

  • procedures addressing protection of audit information
  • access authorizations
  • system audit records
  • other relevant documents or records