AU-9_protection-of-audit-information

AU-9 Protection of Audit Information

High-Level Description

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

Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.

What to Check

• Verify AU-9 Protection of Audit Information is documented in SSP
• Validate all 2 control requirements are implemented
• Confirm control is operating effectively
• Review evidence of continuous monitoring for AU-9

How to Test

Step 1: Review Documentation

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

Protect audit information and audit logging tools from unauthorized access, modification, and deletion; and Alert [organization-defined] upon detection of unauthorized access, modification, or deletion of audit information.

Implementation Guidance

Audit information includes all information needed to successfully audit system activity, such as audit records, audit log settings, audit reports, and personally identifiable information. Audit logging tools are those programs and devices used to conduct system audit and logging activities. Protection of audit information focuses on technical protection and limits the ability to access and execute audit logging tools to authorized individuals. Physical protection of audit information is addressed by both media protection controls and physical and environmental protection controls.

Risk Assessment

CWE Categories

References

• NIST SP 800-53 Rev 5 - AU-9
• 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, AC-6, AU-6, AU-11, AU-14) reviewed