Audit Record Generation (03.03.03)_audit-record-generation

Audit Record Generation (03.03.03) Audit Record Generation

High-Level Description

Family: Audit and Accountability Framework: NIST SP 800-171 Rev 3 Applicability: Systems processing, storing, or transmitting CUI

Generate audit records for the selected event types and audit record content specified in 03.03.01 and 03.03.02. Retain audit records for a time period consistent with the records retention policy.

What to Check

• Verify Audit Record Generation (03.03.03) Audit Record Generation is implemented for CUI systems
• Review SSP documentation for Audit Record Generation (03.03.03)
• Validate CMMC Level 2 assessment objective for Audit Record Generation (03.03.03)
• Confirm POA&M addresses any gaps for Audit Record Generation (03.03.03)

How to Test

Step 1: Review System Security Plan

Examine the SSP for Audit Record Generation (03.03.03) implementation description and responsible parties.

Step 2: Assess Implementation

# Verify security controls protecting CUI
# Check access controls, encryption, monitoring as applicable

# For Linux systems:
ls -la /etc/security/ 2>/dev/null
grep -r "CUI\|controlled" /etc/security/ 2>/dev/null

# For cloud:
# Use cloud-audit-mcp tools to assess posture

Step 3: CMMC Assessment Validation

Verify this requirement passes CMMC Level 2 assessment methodology per SP 800-171A Rev 3.

Tools

Remediation Guide

Requirement Statement

Generate audit records for the selected event types and audit record content specified in 03.03.01 and 03.03.02. Retain audit records for a time period consistent with the records retention policy.

Supplemental Guidance

Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit logging capability and can facilitate the identification of root causes to problems. The ability to add information generated in audit records is dependent on system functionality to configure the audit record content. Organizations may consider additional information in audit records, including the access control or flow control rules invoked and the individual identities of group account users. Organizations may also consider limiting additional audit record information to only information that is explicitly needed for audit requirements.

Risk Assessment

CWE Categories

References

• NIST SP 800-171 Rev 3
• NIST SP 800-171A Rev 3 (Assessment)
• CMMC Model Overview
• NIST OSCAL Content

Checklist

• SSP documents Audit Record Generation (03.03.03) implementation
• Evidence of operating effectiveness collected
• POA&M addresses any gaps
• CMMC assessment objective met
• Continuous monitoring active