id: "AU-03" title: "Content of Audit Records" family: "AU" family_name: "Audit and Accountability" sort_id: "au-03" priority: "P2" implementation_level: "system" enhancements: - au-3.1 - au-3.2 - au-3.3
Statement
Ensure that audit records contain information that establishes the following:
What type of event occurred;
When the event occurred;
Where the event occurred;
Source of the event;
Outcome of the event; and
Identity of any individuals, subjects, or objects/entities associated with the event.
Guidance
Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.
Assessment Objective: audit records contain information that establishes what type of event occurred;
Assessment Objective: audit records contain information that establishes when the event occurred;
Assessment Objective: audit records contain information that establishes where the event occurred;
Assessment Objective: audit records contain information that establishes the source of the event;
Assessment Objective: audit records contain information that establishes the outcome of the event;
Assessment Objective: audit records contain information that establishes the identity of any individuals, subjects, or objects/entities associated with the event.
Audit and accountability policy
system security plan
privacy plan
procedures addressing content of audit records
system design documentation
system configuration settings and associated documentation
list of organization-defined auditable events
system audit records
system incident reports
other relevant documents or records
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security and privacy responsibilities
system/network administrators
Mechanisms implementing system auditing of auditable events