AU-14 Session Audit

Guidance: nonePolicy clause: noneWhat these mean

Baselines	Implementation level	Enhancements
Not in a baseline	System	2 (0 in a baseline)

Related controls: AC-3, AC-8, AU-2, AU-3, AU-4, AU-5, AU-8, AU-9, AU-11, AU-12

Control statement

• a. Provide and implement the capability for [Assignment: organization-defined users or roles] to [Selection (one or more): record; view; hear; log] the content of a user session under [Assignment: organization-defined circumstances] ; and
• b. Develop, integrate, and use session auditing activities in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines.

NIST discussion

Session audits can include monitoring keystrokes, tracking websites visited, and recording information and/or file transfers. Session audit capability is implemented in addition to event logging and may involve implementation of specialized session capture technology. Organizations consider how session auditing can reveal information about individuals that may give rise to privacy risk as well as how to mitigate those risks. Because session auditing can impact system and network performance, organizations activate the capability under well-defined situations (e.g., the organization is suspicious of a specific individual). Organizations consult with legal counsel, civil liberties officials, and privacy officials to ensure that any legal, privacy, civil rights, or civil liberties issues, including the use of personally identifiable information, are appropriately addressed.

Control enhancements

AU-14(1) System Start-up

Baselines: Not in a baseline

Initiate session audits automatically at system start-up.

Discussion and assessment objectives for AU-14(1)

The automatic initiation of session audits at startup helps to ensure that the information being captured on selected individuals is complete and not subject to compromise through tampering by malicious threat actors.

Determine if session audits are initiated automatically at system start-up.

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

Interview: Organizational personnel with information security and privacy responsibilities; system/network administrators; system developers.

Test: Mechanisms implementing user session auditing capability.

AU-14(3) Remote Viewing and Listening

Baselines: Not in a baseline

Provide and implement the capability for authorized users to remotely view and hear content related to an established user session in real time.

Discussion and assessment objectives for AU-14(3)

None.

Determine if:

• AU-14(03)[01] the capability for authorized users to remotely view and hear content related to an established user session in real time is provided;
• AU-14(03)[02] the capability for authorized users to remotely view and hear content related to an established user session in real time is implemented.

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

Interview: Organizational personnel with information security and privacy responsibilities; system/network administrators; system developers; legal counsel; personnel with civil liberties responsibilities.

Test: Mechanisms implementing user session auditing capability.

Withdrawn enhancements: AU-14(2).

Assessment objectives (SP 800-53A)

Objectives and methods for AU-14

Determine if:

• AU-14a.
  • AU-14a.[01] [Assignment: organization-defined users or roles] are provided with the capability to [Selection (one or more): record; view; hear; log] the content of a user session under [Assignment: organization-defined circumstances];
  • AU-14a.[02] the capability for [Assignment: organization-defined users or roles] to [Selection (one or more): record; view; hear; log] the content of a user session under [Assignment: organization-defined circumstances] is implemented;
• AU-14b.
  • AU-14b.[01] session auditing activities are developed in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
  • AU-14b.[02] session auditing activities are integrated in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;
  • AU-14b.[03] session auditing activities are used in consultation with legal counsel and in accordance with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines;

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

Interview: Organizational personnel with information security and privacy responsibilities; system/network administrators; system developers; legal counsel; personnel with civil liberties responsibilities.

Test: Mechanisms implementing user session auditing capability.