AU-7(1)_automatic-processing

AU-7(1) Automatic Processing

Enhancement of: AU-7

High-Level Description

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

Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.

What to Check

• Verify AU-7(1) Automatic Processing is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-7(1)
• Verify enhancement builds upon base control AU-7

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-7(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

Provide and implement the capability to process, sort, and search audit records for events of interest based on the following content: [organization-defined].

Implementation Guidance

Events of interest can be identified by the content of audit records, including system resources involved, information objects accessed, identities of individuals, event types, event locations, event dates and times, Internet Protocol addresses involved, or event success or failure. Organizations may define event criteria to any degree of granularity required, such as locations selectable by a general networking location or by specific system component.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-7(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 (none) reviewed