AU-3 Content of audit records
Requires each audit record to carry enough detail to establish what type of event occurred, when and where it occurred, its source, its outcome, and the identity of the individuals, subjects or objects associated with it
4
artefacts
2
held by a system
0
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
system holds itEvidence a system already holds
- Sample audit records from each major log source showing all required elements present · SIEM / log platform
- Normalisation or parser configuration in the log platform · SIEM / log platform
periodic reviewEvidence produced at each review
none for this control
governing documentDocuments that govern the control
- Field mapping documenting where each required element is carried · Policy repository / GRC workspace
- Gap analysis of sources that cannot supply a required element and the compensating approach · Policy repository / GRC workspace
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
- Records show an action but not the actor, so accountability cannot be established
- Source address lost behind a proxy or load balancer and never preserved
- Outcome not recorded, so a failed and a successful attempt look the same
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