AU-13 Monitoring for Information Disclosure

Guidance: nonePolicy clause: noneWhat these mean

Baselines	Implementation level	Enhancements
Not in a baseline	Organization	3 (0 in a baseline)

Related controls: AC-22, PE-3, PM-12, RA-5, SC-7, SI-20

Control statement

• a. Monitor [Assignment: organization-defined open-source information and/or information sites] [Assignment: organization-defined frequency] for evidence of unauthorized disclosure of organizational information; and
• b. If an information disclosure is discovered:
  • 1. Notify [Assignment: organization-defined personnel or roles] ; and
  • 2. Take the following additional actions: [Assignment: organization-defined additional actions].

NIST discussion

Unauthorized disclosure of information is a form of data leakage. Open-source information includes social networking sites and code-sharing platforms and repositories. Examples of organizational information include personally identifiable information retained by the organization or proprietary information generated by the organization.

Control enhancements

AU-13(1) Use of Automated Tools

Baselines: Not in a baseline

Monitor open-source information and information sites using [Assignment: organization-defined automated mechanisms].

Discussion and assessment objectives for AU-13(1)

Automated mechanisms include commercial services that provide notifications and alerts to organizations and automated scripts to monitor new posts on websites.

Determine if open-source information and information sites are monitored using [Assignment: organization-defined automated mechanisms].

Examine: Audit and accountability policy; system security plan; privacy plan; procedures addressing information disclosure monitoring; system design documentation; system configuration settings and associated documentation; automated monitoring tools; system audit records; other relevant documents or records.

Interview: Organizational personnel with responsibilities for monitoring information disclosures; organizational personnel with information security and privacy responsibilities.

Test: Automated mechanisms implementing monitoring for information disclosure.

AU-13(2) Review of Monitored Sites

Baselines: Not in a baseline

Review the list of open-source information sites being monitored [Assignment: organization-defined frequency].

Discussion and assessment objectives for AU-13(2)

Reviewing the current list of open-source information sites being monitored on a regular basis helps to ensure that the selected sites remain relevant. The review also provides the opportunity to add new open-source information sites with the potential to provide evidence of unauthorized disclosure of organizational information. The list of sites monitored can be guided and informed by threat intelligence of other credible sources of information.

Determine if the list of open-source information sites being monitored is reviewed [Assignment: organization-defined frequency].

Examine: Audit and accountability policy; system security plan; privacy plan; procedures addressing information disclosure monitoring; system design documentation; system configuration settings and associated documentation; reviews for open-source information sites being monitored; system audit records; other relevant documents or records.

Interview: Organizational personnel with responsibilities for monitoring open-source information sites; organizational personnel with information security and privacy responsibilities.

Test: Mechanisms implementing monitoring for information disclosure.

AU-13(3) Unauthorized Replication of Information

Baselines: Not in a baseline

Employ discovery techniques, processes, and tools to determine if external entities are replicating organizational information in an unauthorized manner.

Discussion and assessment objectives for AU-13(3)

The unauthorized use or replication of organizational information by external entities can cause adverse impacts on organizational operations and assets, including damage to reputation. Such activity can include the replication of an organizational website by an adversary or hostile threat actor who attempts to impersonate the web-hosting organization. Discovery tools, techniques, and processes used to determine if external entities are replicating organizational information in an unauthorized manner include scanning external websites, monitoring social media, and training staff to recognize the unauthorized use of organizational information.

Determine if discovery techniques, processes, and tools are employed to determine if external entities are replicating organizational information in an unauthorized manner.

Examine: Audit and accountability policy; system security plan; privacy plan; procedures addressing information disclosure monitoring; procedures addressing information replication; system design documentation; system configuration settings and associated documentation; system audit records; training resources for staff to recognize the unauthorized use of organizational information; other relevant documents or records.

Interview: Organizational personnel with responsibilities for monitoring unauthorized replication of information; organizational personnel with information security and privacy responsibilities.

Test: Discovery tools for identifying unauthorized information replication.

Assessment objectives (SP 800-53A)

Objectives and methods for AU-13

Determine if:

• AU-13a. [Assignment: organization-defined open-source information and/or information sites] is/are monitored [Assignment: organization-defined frequency] for evidence of unauthorized disclosure of organizational information;
• AU-13b.
  • AU-13b.01 [Assignment: organization-defined personnel or roles] are notified if an information disclosure is discovered;
  • AU-13b.02 [Assignment: organization-defined additional actions] are taken if an information disclosure is discovered.

Examine: Audit and accountability policy; system security plan; privacy plan; procedures addressing information disclosure monitoring; system design documentation; system configuration settings and associated documentation; monitoring records; system audit records; other relevant documents or records.

Interview: Organizational personnel with responsibilities for monitoring open-source information and/or information sites; organizational personnel with security and privacy responsibilities.

Test: Mechanisms implementing monitoring for information disclosure.