AU-9(5)—Protection of Audit Information | Dual Authorization
IL5
IL6
>Control Description
Enforce dual authorization for [Selection (one or more): movement; deletion] of ⚙organization-defined audit information.
>DoD Impact Level Requirements
No specific parameter values or requirements for this impact level.
>Discussion
Organizations may choose different selection options for different types of audit information. Dual authorization mechanisms (also known as two-person control) require the approval of two authorized individuals to execute audit functions. To reduce the risk of collusion, organizations consider rotating dual authorization duties to other individuals.
Organizations do not require dual authorization mechanisms when immediate responses are necessary to ensure public and environmental safety.
>Related Controls
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-9(5) (Dual Authorization)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-9(5)?
- •How frequently is the AU-9(5) policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-9(5)?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-9(5) requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-9(5)?
- •How is AU-9(5) integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-9(5) requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-9(5)?
- •What audit logs, records, reports, or monitoring data validate AU-9(5) compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-9(5) effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-9(5) compliance?
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