home || catalog: SP800-53rev3 / class: Technical / family: (AU) Audit and Accountability ||
search controls:
search nistpubs:

AC
AT
AU

AU-01 *
AU-02
AU-03
AU-04
AU-05
AU-06
AU-07
AU-08
AU-09
AU-10
AU-11
AU-12
AU-13
AU-14

CA
CM
CP
IA
IR
MA
MP
PE
PL
PM
PS
RA
SA
SC
SI
MMMMM

  AU-01: Audit and Accountability Policy and Procedures  

base control objective:
The organization develops, disseminates, and reviews/updates [Assignment: organization-defined frequency]:
a. A formal, documented audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and
b. Formal, documented procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls.

supplemental objective information:
This control is intended to produce the policy and procedures that are required for the effective implementation of the security controls and control enhancements in the audit and accountability family. The policy and procedures are consistent with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The audit and accountability policy can be included as part of the general information security policy for the organization. Audit and accountability procedures can be developed for the security program in general and for a particular information system, when required. The organizational risk management strategy is a key factor in the development of the audit and accountability policy.

enhancements to the base objective:

(1) None.

mapping to FIPS199 baseline:

  LOW: base     MOD: base     HIGH: base  

related (regimented) controls:

PM-09   Risk Management Strategy

documents referenced in SP800-53rev3 for AU-01:

Document Date Status Title
FIPS 200 March, 2006 current   Minimum Security Requirements for Federal Information and Information Systems
NIST SP800-100 October, 2006 current   Information Security Handbook: A Guide for Managers
NIST SP800-12 October, 1995 current   An Introduction to Computer Security: The NIST Handbook
NIST SP800-124 July, 2008 current   Guidelines on Cell Phone and PDA Security
NIST SP800-14 September, 1996 current   Generally Accepted Principles and Practices for Securing Information Technology Systems
NIST SP800-44 September 2002 current   Guidelines on Securing Public Web Servers
NIST SP800-66 October, 2008 current   An Introductory Resource Guide for Implementing the Health Insurance Portability and Accountability Act (HIPAA) Security Rule
NIST SP800-72 November, 2004 current   Guidelines on PDA Forensics
NIST SP800-92 September, 2006 current   Guide to Computer Security Log Management

Search SP800-53rev3 catalog: