NIST Special Publication 800-171 Revision 2
Date Published: January 28th, 2021
Withdrawn on May 14, 2024. Superseded by SP 800-171 Rev. 3
Author(s): Ron Ross (NIST), Victoria Pillitteri (NIST), Kelley Dempsey (NIST), Mark Riddle (NARA), Gary Guissanie (IDA)
Note: A Class Deviation is in effect as of May 2, 2024 (DEVIATION 2024O0013). The deviation clause requires contractors, who are subject to 252.204-7012, to comply with National Institute of Standards and Technology (NIST) Special Publication (SP) 800-171 Revision 2, instead of the version of NIST SP 800-171 in effect at the time the solicitation is issued or as authorized by the contracting officer. Click Here
3.3.9 Limit management of audit logging functionality to a subset of privileged users.
Control Family: Audit and Accountability
Control Type: Derived
SPRS Value: 1
SPRS Supplemental Guidance: N/A
CMMC Level(s): AU.L2-3.3.7
Top Ten Failed Requirement: No
Referenced in:
DFARS 252.204-7012
Derived From: NIST SP 800-53r4
AU-9(4)
NIST Supplemental Guidance:
N/A
Discussion:
Individuals with privileged access to a system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit logging activities or modifying audit records. This requirement specifies that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
Upon assessment, assessors must determine if-
3.3.9[a] a subset of privileged users granted access to manage audit logging
functionality is defined.
3.3.9[b] management of audit logging functionality is limited to the defined subset of
privileged users.
Assessors are instructed to-
Examine: [SELECT FROM: Audit and accountability policy; access control policy and procedures; procedures addressing protection of audit information; system security plan; system design documentation; system configuration settings and associated documentation; access authorizations; system-generated list of privileged users with access to management of audit logging functionality; access control list; system audit logs and records; other relevant documents or records].
Interview: [SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers].
Test: [SELECT FROM: Mechanisms managing access to audit logging functionality].
FURTHER DISCUSSION
Companies should restrict access to audit logging functions to a limited number of privileged users who can modify audit logs and audit settings. General users should not be granted permissions to perform audit management. All audit managers should be privileged users, but only a small subset of privileged users will be given audit management responsibilities. Functions performed by privileged users must be distinctly separate from the functions performed by users who have audit-related responsibilities to reduce the potential of fraudulent activities by privileged users not being detected or reported. When possible, individuals who manage audit logs should not have access to other privileged functions.
Example
You are responsible for the administration of select company infrastructure that contains CUI, but you are not responsible for managing audit information. You are not permitted to review audit logs, delete audit logs, or modify audit log settings [b]. Full control of audit logging functions has been given to senior system administrators [a,b]. This separation of system administration duties from audit logging management is necessary to prevent possible log file tampering.
Potential Assessment Considerations
Are audit records of nonlocal accesses to privileged accounts and the execution of privileged functions protected [b]?