AU — AUDIT AND ACCOUNTABILITY
AU-9: PROTECTION OF AUDIT INFORMATION
NIST 800-53R4 Membership AU-9:
The information system protects audit information and audit tools from unauthorized access, modification, and deletion.
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
RELATED CONTROLS: AU-9
AU-9 (1) PROTECTION OF AUDIT INFORMATION | HARDWARE WRITE-ONCE MEDIA
The information system writes audit trails to hardware-enforced, write-once media.
This control enhancement applies to the initial generation of audit trails (i.e., the collection of audit records that represents the audit information to be used for detection, analysis, and reporting purposes) and to the backup of those audit trails. The enhancement does not apply to the initial generation of audit records prior to being written to an audit trail. Write-once, read-many (WORM) media includes, for example, Compact Disk-Recordable (CD-R) and Digital Video Disk-Recordable (DVD-R). In contrast, the use of switchable write-protection media such as on tape cartridges or Universal Serial Bus (USB) drives results in write-protected, but not write-once, media.
RELATED CONTROLS: AU-9 (1)
AU-9 (2) PROTECTION OF AUDIT INFORMATION | AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
NIST 800-53R4 Membership AU-9 (2):
The information system backs up audit records [Assignment: organization-defined frequency] onto a physically different system or system component than the system or component being audited.
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
RELATED CONTROLS: AU-9 (2)
AU-9 (3) PROTECTION OF AUDIT INFORMATION | CRYPTOGRAPHIC PROTECTION
NIST 800-53R4 Membership AU-9 (3):
The information system implements cryptographic mechanisms to protect the integrity of audit information and audit tools.
Cryptographic mechanisms used for protecting the integrity of audit information include, for example, signed hash functions using asymmetric cryptography enabling distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.
RELATED CONTROLS: AU-9 (3)
AU-9 (4) PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS
NIST 800-53R4 Membership AU-9 (4):
The organization authorizes access to management of audit functionality to only [Assignment: organization-defined subset of privileged users].
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
RELATED CONTROLS: AU-9 (4)
AU-9 (5) PROTECTION OF AUDIT INFORMATION | DUAL AUTHORIZATION
The organization enforces dual authorization for [Selection (one or more): movement; deletion] of [Assignment: organization-defined audit information].
Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms require the approval of two authorized individuals in order to execute. Dual authorization may also be known as two-person control.
RELATED CONTROLS: AU-9 (5)
AU-9 (6) PROTECTION OF AUDIT INFORMATION | READ ONLY ACCESS
The organization authorizes read-only access to audit information to [Assignment: organization-defined subset of privileged users].
Restricting privileged user authorizations to read-only helps to limit the potential damage to organizations that could be initiated by such users (e.g., deleting audit records to cover up malicious activity).
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