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AU-9 (03)—Protection of Audit Information | Cryptographic Protection

High

>Control Description

Implement cryptographic mechanisms to protect the integrity of audit information and audit tools.

>FedRAMP Baseline Requirements

Additional Requirements and Guidance

AU-9 (3) Guidance: Note that this enhancement requires the use of cryptography which must be compliant with Federal requirements and utilize FIPS validated or NSA approved cryptography (see SC-13.)

>Discussion

Cryptographic mechanisms used for protecting the integrity of audit information include signed hash functions using asymmetric cryptography. This enables the distribution of the public key to verify the hash information while maintaining the confidentiality of the secret key used to generate the hash.

>Assessment Interview Topics

Questions assessors commonly ask

Process & Governance:

  • •What formal policies and procedures govern the implementation of AU-9(3) (Cryptographic Protection)?
  • •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-9(3)?
  • •How frequently is the AU-9(3) policy reviewed and updated, and what triggers policy changes?
  • •What training or awareness programs ensure personnel understand their responsibilities related to AU-9(3)?

Technical Implementation:

  • •Describe the specific technical mechanisms or controls used to enforce AU-9(3) requirements.
  • •What automated tools, systems, or technologies are deployed to implement AU-9(3)?
  • •How is AU-9(3) integrated into your system architecture and overall security posture?
  • •What configuration settings, parameters, or technical specifications enforce AU-9(3) requirements?

Evidence & Documentation:

  • •What documentation demonstrates the complete implementation of AU-9(3)?
  • •What audit logs, records, reports, or monitoring data validate AU-9(3) compliance?
  • •Can you provide evidence of periodic reviews, assessments, or testing of AU-9(3) effectiveness?
  • •What artifacts would you present during a FedRAMP assessment to demonstrate AU-9(3) compliance?

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