AU-1—Policy and Procedures
>Control Description
Develop, document, and disseminate to ⚙organization-defined personnel or roles: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and
[Selection (one or more): Organization-level; Mission/business process-level; System-level] audit and accountability policy that:
Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;
Designate an ⚙organization-defined official to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and
Review and update the current audit and accountability:
Policy ⚙organization-defined frequency and following ⚙organization-defined events; and
Procedures ⚙organization-defined frequency and following ⚙organization-defined events.
>DoD Impact Level Requirements
FedRAMP Parameter Values
AU-1 (c) (1) [at least annually] AU-1 (c) (2) [at least annually] [significant changes]
>Discussion
Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance.
Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations.
Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents.
Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.
>Related Controls
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-1 (Policy And Procedures)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-1?
- •How frequently is the AU-1 policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-1?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-1 requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-1?
- •How is AU-1 integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-1 requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-1?
- •What audit logs, records, reports, or monitoring data validate AU-1 compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-1 effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-1 compliance?
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