AU-5 Response to audit logging process failures
Requires defined personnel to be alerted within a defined time period when the audit logging process fails, and requires the organization to take the additional response actions it has defined for that failure.
4
artefacts
3
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
- Alert configuration for logging process failure with the defined notification window · SIEM / log platform
- Sample alert and the ticket showing response within the required time · SIEM / log platform
- Test evidence proving a simulated logging failure raises the alert · SIEM / log platform
periodic reviewEvidence produced at each review
none for this control
governing documentDocuments that govern the control
- Defined recipient list and the additional actions to be taken on failure · 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
- Failures of the log forwarder itself are unmonitored, so silence looks like health
- Alerts route to a mailbox nobody owns
- Additional actions never defined, so the response is improvised each time
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 sheetAU-4 Audit log storage capacity · AU-6 Audit record review, analysis, and reporting