What evidence do auditors commonly ask for on AU.L2-3.3.9 Audit Management?

List of users authorized to manage audit logging; Configuration restricting audit management permissions; Evidence of separation from general system administration.

What is the most common gap auditors find on AU.L2-3.3.9?

All administrators hold audit management rights

CMMC 2.0 · Audit and Accountability

`AU.L2-3.3.9` Audit Management

Restrict the ability to manage audit logging functionality to a limited subset of privileged users, separate from general administrators.

Source: CMMC 2.0, AU.L2-3.3.9. The statement above is our statement of the clause, read from the published text and cited so you can check it against the official text, not the instrument verbatim. Open CMMC 2.0 in the compliance library.

artefacts

held by a system

at each review

easy

to go live

SIEM / log platform

where the evidence lives

teal = a system already holds it · olive = produced at each review. To go live: easy when half or more of the artefacts are already held by a system, moderate from a quarter to a half, hard below a quarter.

These are the artefacts auditors commonly ask for on this requirement, our guidance rather than text from the standard. Your assessor decides what is sufficient in your context, and asks for samples across the period when a report covers one.

system holds itEvidence a system already holds

List of users authorized to manage audit logging · SIEM / log platform
Configuration restricting audit management permissions · Identity provider / directory

periodic reviewEvidence produced at each review

Evidence of separation from general system administration · Policy repository / GRC workspace

governing documentDocuments that govern the control

none for this control

First move

Automate the pull from your SIEM / log platform. Retention and alert rules exported from the SIEM; review evidence is the closed-alert record with reviewer and time.

Common gaps auditors find

All administrators hold audit management rights
Subset defined on paper but not enforced technically
No review of who holds audit management privileges

Do this for your whole sheet

Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.

Build my evidence sheet

AU.L2-3.3.8 Audit Protection · CA.L2-3.12.1 Security Control Assessment