AU-5(4)—Shutdown On Failure
>Control Description
Invoke a ☑full system shutdown; partial system shutdown; degraded operational mode with limited mission or business functionality available in the event of ⚙organization-defined audit logging failures, unless an alternate audit logging capability exists.
>Supplemental Guidance
Organizations determine the types of audit logging failures that can trigger automatic system shutdowns or degraded operations. Because of the importance of ensuring mission and business continuity, organizations may determine that the nature of the audit logging failure is not so severe that it warrants a complete shutdown of the system supporting the core organizational mission and business functions. In those instances, partial system shutdowns or operating in a degraded mode with reduced capability may be viable alternatives.
>Related Controls
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-5(4) (Shutdown On Failure)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-5(4)?
- •How frequently is the AU-5(4) policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-5(4)?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-5(4) requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-5(4)?
- •How is AU-5(4) integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-5(4) requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-5(4)?
- •What audit logs, records, reports, or monitoring data validate AU-5(4) compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-5(4) effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-5(4) compliance?
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