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Establish, implement, and maintain an audit and accountability policy.


CONTROL ID
14035
CONTROL TYPE
Establish/Maintain Documentation
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain logging and monitoring operations., CC ID: 00637

This Control has the following implementation support Control(s):
  • Include compliance requirements in the audit and accountability policy., CC ID: 14103
  • Include coordination amongst entities in the audit and accountability policy., CC ID: 14102
  • Include the purpose in the audit and accountability policy., CC ID: 14100
  • Include roles and responsibilities in the audit and accountability policy., CC ID: 14098
  • Include management commitment in the audit and accountability policy., CC ID: 14097
  • Include the scope in the audit and accountability policy., CC ID: 14096
  • Disseminate and communicate the audit and accountability policy to interested personnel and affected parties., CC ID: 14095
  • Establish, implement, and maintain audit and accountability procedures., CC ID: 14057


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • Documented. (10.1.1 Bullet 1, Payment Card Industry Data Security Standard Requirements and Testing Procedures, Defined Approach Requirements, Version 4.0)
  • Kept up to date. (10.1.1 Bullet 2, Payment Card Industry Data Security Standard Requirements and Testing Procedures, Defined Approach Requirements, Version 4.0)
  • In use. (10.1.1 Bullet 3, Payment Card Industry Data Security Standard Requirements and Testing Procedures, Defined Approach Requirements, Version 4.0)
  • Examine documentation and interview personnel to verify that security policies and operational procedures identified in Requirement 10 are managed in accordance with all elements specified in this requirement. (10.1.1, Payment Card Industry Data Security Standard Requirements and Testing Procedures, Defined Approach Testing Procedures, Version 4.0)
  • Kept up to date. (10.1.1 Bullet 2, Self-Assessment Questionnaire C and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Documented. (10.1.1 Bullet 1, Self-Assessment Questionnaire C and Attestation of Compliance for use with PCI DSS Version 4.0)
  • In use. (10.1.1 Bullet 3, Self-Assessment Questionnaire C and Attestation of Compliance for use with PCI DSS Version 4.0)
  • In use. (10.1.1 Bullet 3, Self-Assessment Questionnaire D for Merchants and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Documented. (10.1.1 Bullet 1, Self-Assessment Questionnaire D for Merchants and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Kept up to date. (10.1.1 Bullet 2, Self-Assessment Questionnaire D for Merchants and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Kept up to date. (10.1.1 Bullet 2, Self-Assessment Questionnaire D for Service Providers and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Documented. (10.1.1 Bullet 1, Self-Assessment Questionnaire D for Service Providers and Attestation of Compliance for use with PCI DSS Version 4.0)
  • In use. (10.1.1 Bullet 3, Self-Assessment Questionnaire D for Service Providers and Attestation of Compliance for use with PCI DSS Version 4.0)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., StateRAMP Security Controls Baseline Summary Category 1, Version 1.1)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., StateRAMP Security Controls Baseline Summary Category 2, Version 1.1)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., StateRAMP Security Controls Baseline Summary Category 3, Version 1.1)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., StateRAMP Security Controls Baseline Summary High Sensitivity Level, Version 1.1)
  • An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (AU-1a.1. High Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • Audit and accountability policy [FedRAMP Assignment: at least annually]; and (AU-1b.1. High Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • Audit and accountability policy [FedRAMP Assignment: at least every 3 years]; and (AU-1b.1. Moderate Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (AU-1a.1. Moderate Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • An audit and accountability policy that addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (AU-1a.1. Low Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • Audit and accountability policy [FedRAMP Assignment: at least every 3 years]; and (AU-1b.1. Low Baseline Controls, FedRAMP Baseline Security Controls, 8/28/2018)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., FedRAMP Security Controls High Baseline, Version 5)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), FedRAMP Security Controls High Baseline, Version 5)
  • Policy [FedRAMP Assignment: at least annually] and following [Assignment: organization-defined events]; and (AU-1c.1., FedRAMP Security Controls High Baseline, Version 5)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., FedRAMP Security Controls Low Baseline, Version 5)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), FedRAMP Security Controls Low Baseline, Version 5)
  • Policy [FedRAMP Assignment: at least every 3 years] and following [Assignment: organization-defined events]; and (AU-1c.1., FedRAMP Security Controls Low Baseline, Version 5)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., FedRAMP Security Controls Moderate Baseline, Version 5)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), FedRAMP Security Controls Moderate Baseline, Version 5)
  • Policy [FedRAMP Assignment: at least every 3 years] and following [Assignment: organization-defined events]; and (AU-1c.1., FedRAMP Security Controls Moderate Baseline, Version 5)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, High Impact Baseline, October 2020)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, High Impact Baseline, October 2020)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Control Baselines for Information Systems and Organizations, NIST SP 800-53B, High Impact Baseline, October 2020)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AT-1c.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, High Impact Baseline, October 2020)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Low Impact Baseline, October 2020)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Low Impact Baseline, October 2020)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Low Impact Baseline, October 2020)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Moderate Impact Baseline, October 2020)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Moderate Impact Baseline, October 2020)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Moderate Impact Baseline, October 2020)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Privacy Control Baseline, October 2020)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Privacy Control Baseline, October 2020)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Control Baselines for Information Systems and Organizations, NIST SP 800-53B, Privacy Control Baseline, October 2020)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Baseline Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Baseline Controls)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Baseline Controls)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 1 Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AT-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 1 Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 1 Controls)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 1 Controls)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 2 Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AT-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 2 Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 2 Controls)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 2 Controls)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 3 Controls)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 3 Controls)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations, NIST Special Publication 800-161, Revision 1, Appendix A, C-SCRM Level 3 Controls)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1. Low Baseline Controls, Guide to Industrial Control Systems (ICS) Security, Revision 2)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1. Moderate Baseline Controls, Guide to Industrial Control Systems (ICS) Security, Revision 2)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1. High Baseline Controls, Guide to Industrial Control Systems (ICS) Security, Revision 2)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., Security and Privacy Controls for Federal Information Systems and Organizations, NIST SP 800-53, High Impact Baseline, Revision 4)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., Security and Privacy Controls for Federal Information Systems and Organizations, NIST SP 800-53, Low Impact Baseline, Revision 4)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., Security and Privacy Controls for Federal Information Systems and Organizations, NIST SP 800-53, Moderate Impact Baseline, Revision 4)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., Security and Privacy Controls for Federal Information Systems and Organizations, NIST SP 800-53, Revision 4)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AT-1c.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5)
  • [Selection (one or more): organization-level; mission/business process-level; system- level] audit and accountability policy that: (AU-1a.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5.1.1)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AT-1c.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5.1.1)
  • Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and (AU-1c.1., Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5.1.1)
  • Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and (AU-1a.1(b), Security and Privacy Controls for Information Systems and Organizations, NIST SP 800-53, Revision 5.1.1)
  • Audit and accountability policy [Assignment: organization-defined frequency]; and (AU-1b.1., Supply Chain Risk Management Practices for Federal Information Systems and Organizations, NIST Special Publication 800-161, April 2015)
  • Audit and accountability policy [TX-RAMP Assignment: at least every 3 years]; and (AU-1b.1., TX-RAMP Security Controls Baseline Level 1)
  • Audit and accountability policy [TX-RAMP Assignment: at least every 3 years]; and (AU-1b.1., TX-RAMP Security Controls Baseline Level 2)