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 +##

au-5

response to audit processing failures

assessment objective:

Determine if:

au-5(a)

au-5(a)[1]

the organization defines the personnel or roles to be alerted in the event of an audit processing failure;

au-5(a)[2]

the information system alerts the organization-defined personnel or roles in the event of an audit processing failure;

au-5(b)

au-5(b)[1]

the organization defines additional actions to be taken (e.g., shutdown information system, overwrite oldest audit records, stop generating audit records) in the event of an audit processing failure; and

au-5(b)[2]

the information system takes the additional organization-defined actions in the event of an audit processing failure.

potential assessment methods and objects:

Examine: [select from: Audit and accountability policy; procedures addressing response to audit processing failures; information system design documentation; security plan; information system configuration settings and associated documentation; list of personnel to be notified in case of an audit processing failure; information system audit records; other relevant documents or records].

Interview: [select from: Organizational personnel with audit and accountability responsibilities; organizational personnel with information security responsibilities; system/network administrators; system developers].

Test: [select from: Automated mechanisms implementing information system response to audit processing failures].