| name | AU-1_policy-and-procedures |
| description | Develop, document, and disseminate to [organization-defined]: [organization-defined] audit and accountability policy that: Procedures to facilitate th |
| category | information-gathering |
| version | 5.2.0 |
| author | cyberstrike-official |
| tags | ["nist","sp800-53","rev5","au-1","au"] |
| tech_stack | ["aws","azure","gcp","linux","windows"] |
| cwe_ids | ["CWE-778"] |
| chains_with | ["PM-9","PS-8","SI-12"] |
| prerequisites | [] |
| severity_boost | {"PM-9":"Chain with PM-9 for comprehensive security coverage","PS-8":"Chain with PS-8 for comprehensive security coverage","SI-12":"Chain with SI-12 for comprehensive security coverage"} |
AU-1 Policy and Procedures
High-Level Description
Family: Audit and Accountability (AU)
Framework: NIST SP 800-53 Rev 5
Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.
What to Check
How to Test
Step 1: Review Documentation
Examine the System Security Plan (SSP) and related artifacts for AU-1 implementation details. Verify the organization has documented how this control is satisfied.
Step 2: Validate Implementation
# For cloud environments, use cloud-audit-mcp tools
# For on-premises, review system configurations directly
# Example: Check if account management policies exist
grep -r "account.management\|access.control" /etc/security/ 2>/dev/null
Step 3: Test Operating Effectiveness
Verify the control is actively functioning, not just documented. Check logs, configurations, and operational evidence.
