AU-6(1)_automated-process-integration

AU-6(1) Automated Process Integration

Enhancement of: AU-6

High-Level Description

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

Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.

What to Check

• Verify AU-6(1) Automated Process Integration is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-6(1)
• Verify enhancement builds upon base control AU-6

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-6(1) 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

Integrate audit record review, analysis, and reporting processes using [organization-defined].

Implementation Guidance

Organizational processes that benefit from integrated audit record review, analysis, and reporting include incident response, continuous monitoring, contingency planning, investigation and response to suspicious activities, and Inspector General audits.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-6(1)
• 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 (PM-7) reviewed