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Guidance for NIST 800-171 Assessment & Compliance

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AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES

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Applicable

(Y)es / (N)o

(C)onfidentiality

(I)ntegrity

(A)vailability

RPN

(C+I+A)

(S)atisfactory

L1

M2

H3

L1

M2

H3

L1

M2

H3

(O)ther than satisfactory +##

 

 

 

 

 

 

 

 

 

 

 

 

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au-1

audit and accountability policy and procedures

 

assessment objective:

Determine if the organization:

au-1(a)(1)

au-1(a)(1)[1]

develops and documents an audit and accountability policy that addresses:

au-1(a)(1)[1][a]

purpose;

au-1(a)(1)[1][b]

scope;

au-1(a)(1)[1][c]

roles;

au-1(a)(1)[1][d]

responsibilities;

au-1(a)(1)[1][e]

management commitment;

au-1(a)(1)[1][f]

coordination among organizational entities;

au-1(a)(1)[1][g]

compliance;

au-1(a)(1)[2]

defines personnel or roles to whom the audit and accountability policy are to be disseminated;

au-1(a)(1)[3]

disseminates the audit and accountability policy to organization-defined personnel or roles;

au-1(a)(2)

au-1(a)(2)[1]

develops and documents procedures to facilitate the implementation of the audit and accountability policy and associated audit and accountability controls;

au-1(a)(2)[2]

defines personnel or roles to whom the procedures are to be disseminated;

au-1(a)(2)[3]

disseminates the procedures to organization-defined personnel or roles;

au-1(b)(1)

au-1(b)(1)[1]

defines the frequency to review and update the current audit and accountability policy;

au-1(b)(1)[2]

reviews and updates the current audit and accountability policy with the organization-defined frequency;

au-1(b)(2)

au-1(b)(2)[1]

defines the frequency to review and update the current audit and accountability procedures; and

au-1(b)(2)[2]

reviews and updates the current audit and accountability procedures in accordance with the organization-defined frequency.  

potential assessment methods and objects:

Examine: [select from: Audit and accountability policy and procedures; other relevant documents or records].

Interview: [select from: Organizational personnel with audit and accountability responsibilities; organizational personnel with information security responsibilities].

 

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