AU-5(5)_alternate-audit-logging-capability

AU-5(5) Alternate Audit Logging Capability

Enhancement of: AU-5

High-Level Description

Family: Audit and Accountability (AU) Framework: NIST SP 800-53 Rev 5

Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure.

What to Check

• Verify AU-5(5) Alternate Audit Logging Capability is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-5(5)
• Verify enhancement builds upon base control AU-5

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-5(5) implementation details. Verify the organization has documented how this control is satisfied.

Step 2: Validate Implementation

# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly

# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null

Step 3: Test Operating Effectiveness

Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.

Tools

Remediation Guide

Control Statement

Provide an alternate audit logging capability in the event of a failure in primary audit logging capability that implements [organization-defined].

Implementation Guidance

Since an alternate audit logging capability may be a short-term protection solution employed until the failure in the primary audit logging capability is corrected, organizations may determine that the alternate audit logging capability need only provide a subset of the primary audit logging functionality that is impacted by the failure.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-5(5)
• NIST SP 800-53A Rev 5 (Assessment Procedures)
• NIST SP 800-53 Rev 5 Full Catalog

Checklist

• Control documented in SSP
• Implementation evidence collected
• Operating effectiveness validated
• Continuous monitoring in place
• Related controls (AU-9) reviewed