AU-9(4)_access-by-subset-of-privileged-users

AU-9(4) Access by Subset of Privileged Users

Enhancement of: AU-9

High-Level Description

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

Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.

What to Check

• Verify AU-9(4) Access by Subset of Privileged Users is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-9(4)
• Verify enhancement builds upon base control AU-9

How to Test

Step 1: Review Documentation

Examine the System Security Plan (SSP) and related artifacts for AU-9(4) 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

Authorize access to management of audit logging functionality to only [organization-defined].

Implementation Guidance

Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-9(4)
• 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-5) reviewed