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CCI-003802

CCI-003802 Definition

Designate an organization-defined official to manage the development and documentation of the audit and accountability procedures.

Status
Type	CheckType.policy

Master Assessment Datasheet

Implementation Guidance

Determine if the [AU-01_ODP[04]; an official to manage the audit and accountability policy and procedures is defined] is designated to manage the development, documentation, and dissemination of the audit and accountability policy and procedures.

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-003802.

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;].