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AU-10(3)—Chain Of Custody

>Control Description

Maintain reviewer or releaser credentials within the established chain of custody for information reviewed or released.

>Cross-Framework Mappings

SCF

IRO-08
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>Supplemental Guidance

Chain of custody is a process that tracks the movement of evidence through its collection, safeguarding, and analysis life cycle by documenting each individual who handled the evidence, the date and time the evidence was collected or transferred, and the purpose for the transfer. If the reviewer is a human or if the review function is automated but separate from the release or transfer function, the system associates the identity of the reviewer of the information to be released with the information and the information label. In the case of human reviews, maintaining the credentials of reviewers or releasers provides the organization with the means to identify who reviewed and released the information.

In the case of automated reviews, it ensures that only approved review functions are used.

>Related Controls

AC-4
AC-16

>Assessment Interview Topics

Questions assessors commonly ask

Process & Governance:

  • •What formal policies and procedures govern the implementation of AU-10(3) (Chain Of Custody)?
  • •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-10(3)?
  • •How frequently is the AU-10(3) policy reviewed and updated, and what triggers policy changes?
  • •What training or awareness programs ensure personnel understand their responsibilities related to AU-10(3)?

Technical Implementation:

  • •Describe the specific technical mechanisms or controls used to enforce AU-10(3) requirements.
  • •What automated tools, systems, or technologies are deployed to implement AU-10(3)?
  • •How is AU-10(3) integrated into your system architecture and overall security posture?
  • •What configuration settings, parameters, or technical specifications enforce AU-10(3) requirements?

Evidence & Documentation:

  • •What documentation demonstrates the complete implementation of AU-10(3)?
  • •What audit logs, records, reports, or monitoring data validate AU-10(3) compliance?
  • •Can you provide evidence of periodic reviews, assessments, or testing of AU-10(3) effectiveness?
  • •What artifacts would you present during a FedRAMP assessment to demonstrate AU-10(3) compliance?

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