Response to Audit Logging Process Failures (03.03.04)_response-to-audit-logging-process-failures

Response to Audit Logging Process Failures (03.03.04) Response to Audit Logging Process Failures

High-Level Description

Family: Audit and Accountability Framework: NIST SP 800-171 Rev 3 Applicability: Systems processing, storing, or transmitting CUI

Alert organizational personnel or roles within [organization-defined] in the event of an audit logging process failure. Take the following additional actions: [organization-defined].

What to Check

• Verify Response to Audit Logging Process Failures (03.03.04) Response to Audit Logging Process Failures is implemented for CUI systems
• Review SSP documentation for Response to Audit Logging Process Failures (03.03.04)
• Validate CMMC Level 2 assessment objective for Response to Audit Logging Process Failures (03.03.04)
• Confirm POA&M addresses any gaps for Response to Audit Logging Process Failures (03.03.04)

How to Test

Step 1: Review System Security Plan

Examine the SSP for Response to Audit Logging Process Failures (03.03.04) implementation description and responsible parties.

Step 2: Assess Implementation

# Verify security controls protecting CUI
# Check access controls, encryption, monitoring as applicable

# For Linux systems:
ls -la /etc/security/ 2>/dev/null
grep -r "CUI\|controlled" /etc/security/ 2>/dev/null

# For cloud:
# Use cloud-audit-mcp tools to assess posture

Step 3: CMMC Assessment Validation

Verify this requirement passes CMMC Level 2 assessment methodology per SP 800-171A Rev 3.

Tools

Remediation Guide

Requirement Statement

Alert organizational personnel or roles within [organization-defined] in the event of an audit logging process failure. Take the following additional actions: [organization-defined].

Supplemental Guidance

Audit logging process failures include software and hardware errors, failures in audit log capturing mechanisms, and reaching or exceeding audit log storage capacity. Response actions include overwriting the oldest audit records, shutting down the system, and stopping the generation of audit records. Organizations may choose to define additional actions for audit logging process failures based on the type of failure, the location of the failure, the severity of the failure, or a combination of such factors. When the audit logging process failure is related to storage, the response is carried out for the audit log storage repository (i.e., the distinct system component where the audit logs are stored), the system on which the audit logs reside, the total audit log storage capacity of the organization (i.e., all audit log storage repositories combined), or all three. Organizations may decide to take no additional actions after alerting designated roles or personnel.

Risk Assessment

CWE Categories

References

• NIST SP 800-171 Rev 3
• NIST SP 800-171A Rev 3 (Assessment)
• CMMC Model Overview
• NIST OSCAL Content

Checklist

• SSP documents Response to Audit Logging Process Failures (03.03.04) implementation
• Evidence of operating effectiveness collected
• POA&M addresses any gaps
• CMMC assessment objective met
• Continuous monitoring active