AU-9 (04)—Protection of Audit Information | Access by Subset of Privileged Users
Moderate
High
>Control Description
Authorize access to management of audit logging functionality to only ⚙organization-defined subset of privileged users or roles.
>FedRAMP Baseline Requirements
No FedRAMP-specific parameter values or requirements for this baseline.
>Discussion
Individuals or roles with privileged access to a system and who are also the subject of an audit by that system may affect the reliability of the audit information by inhibiting audit activities or modifying audit records. Requiring privileged access to be further defined between audit-related privileges and other privileges limits the number of users or roles with audit-related privileges.
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-9(4) (Access By Subset Of Privileged Users)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-9(4)?
- •How frequently is the AU-9(4) policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-9(4)?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-9(4) requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-9(4)?
- •How is AU-9(4) integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-9(4) requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-9(4)?
- •What audit logs, records, reports, or monitoring data validate AU-9(4) compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-9(4) effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-9(4) compliance?
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