AU-9(5)_dual-authorization

AU-9(5) Dual Authorization

Enhancement of: AU-9

High-Level Description

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

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

What to Check

• Verify AU-9(5) Dual Authorization is documented in SSP
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-9(5)
• 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(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

Enforce dual authorization for [organization-defined] of [organization-defined].

Implementation Guidance

Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals. Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-9(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 (AC-3) reviewed