id: "AU-05" title: "Response to Audit Logging Process Failures" family: "AU" family_name: "Audit and Accountability" sort_id: "au-05" priority: "P2" implementation_level: "system" enhancements: - au-5.1 - au-5.2 - au-5.3 - au-5.4 - au-5.5
Alert {{ insert: param, au-05_odp.01 }} within {{ insert: param, au-05_odp.02 }} in the event of an audit logging process failure; and
Take the following additional actions: {{ insert: param, au-05_odp.03 }}.
Guidance
Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Organization-defined actions include overwriting oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.
Assessment Objective: {{ insert: param, au-05_odp.01 }} are alerted in the event of an audit logging process failure within {{ insert: param, au-05_odp.02 }};
Assessment Objective: {{ insert: param, au-05_odp.03 }} are taken in the event of an audit logging process failure.
Audit and accountability policy
procedures addressing response to audit processing failures
system design documentation
system security plan
privacy plan
system configuration settings and associated documentation
list of personnel to be notified in case of an audit processing failure
system audit records
other relevant documents or records
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security and privacy responsibilities
system/network administrators
system developers
Mechanisms implementing system response to audit processing failures