Navigate

CCI-000117

CCI-000117 Definition

Develop and document an organization-level; mission/business process-level; and/or system-level audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance.

Status
Type	CheckType.policy

Master Assessment Datasheet

Implementation Guidance

Determine if: - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses purpose. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses scope. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses roles. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses responsibilities. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses management commitment. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses coordination among Organizational entities. - the [AU-01_ODP[03]; one or more of the following PARAMETER VALUES is/are selected: {organization-level; mission/business process-level; system-level}] of the audit and accountability policy addresses compliance.

Validation Procedures

Examine: [SELECT FROM: Audit and accountability policy and procedures; system security plan; privacy plan; other relevant documents or records]. Interview: [SELECT FROM: Organizational personnel with audit and accountability responsibilities; organizational personnel with information security and privacy responsibilities].

Related Controls

The controls below (if any) were marked by NIST as being related to CCI-000117.

Control	Description
AU-1	a: Develop, document, and disseminate to [one of ]: 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] audit and accountability policy that: (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 2: Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls; b: Designate an [an official to manage the audit and accountability policy and procedures is defined;] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and c: Review and update the current audit and accountability: 1: Policy [the frequency at which the current audit and accountability policy is reviewed and updated is defined;] and following [events that would require the current audit and accountability policy to be reviewed and updated are defined;] ; and 2: Procedures [the frequency at which the current audit and accountability procedures are reviewed and updated is defined;] and following [events that would require audit and accountability procedures to be reviewed and updated are defined;].

Control

Description

AU-1

a: Develop, document, and disseminate to [one of ]:
- 1: [one or more of "organization-level"/"mission/business process-level"/"system-level"] audit and accountability policy that:
  - (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
- 2: Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls;

b: Designate an [an official to manage the audit and accountability policy and procedures is defined;] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and

c: Review and update the current audit and accountability:
- 1: Policy [the frequency at which the current audit and accountability policy is reviewed and updated is defined;] and following [events that would require the current audit and accountability policy to be reviewed and updated are defined;] ; and
- 2: Procedures [the frequency at which the current audit and accountability procedures are reviewed and updated is defined;] and following [events that would require audit and accountability procedures to be reviewed and updated are defined;].