AU-7_audit-record-reduction-and-report-generation

AU-7 Audit Record Reduction and Report Generation

High-Level Description

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

Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.

What to Check

• Verify AU-7 Audit Record Reduction and Report Generation is documented in SSP
• Validate all 2 control requirements are implemented
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-7

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-7 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 an audit record reduction and report generation capability that: Supports on-demand audit record review, analysis, and reporting requirements and after-the-fact investigations of incidents; and Does not alter the original content or time ordering of audit records.

Implementation Guidance

Audit record reduction is a process that manipulates collected audit log information and organizes it into a summary format that is more meaningful to analysts. Audit record reduction and report generation capabilities do not always emanate from the same system or from the same organizational entities that conduct audit logging activities. The audit record reduction capability includes modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the system can generate customizable reports. Time ordering of audit records can be an issue if the granularity of the timestamp in the record is insufficient.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-7
• 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 (AC-2, AU-2, AU-3, AU-4, AU-5) reviewed