AU-4(1)—Transfer To Alternate Storage
>Control Description
>Cross-Framework Mappings
>Supplemental Guidance
Audit log transfer, also known as off-loading, is a common process in systems with limited audit log storage capacity and thus supports availability of the audit logs. The initial audit log storage is only used in a transitory fashion until the system can communicate with the secondary or alternate system allocated to audit log storage, at which point the audit logs are transferred. Transferring audit logs to alternate storage is similar to AU-9(2) in that audit logs are transferred to a different entity.
However, the purpose of selecting AU-9(2) is to protect the confidentiality and integrity of audit records. Organizations can select either control enhancement to obtain the benefit of increased audit log storage capacity and preserving the confidentiality, integrity, and availability of audit records and logs.
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-4(1) (Transfer To Alternate Storage)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-4(1)?
- •How frequently is the AU-4(1) policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-4(1)?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-4(1) requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-4(1)?
- •How is AU-4(1) integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-4(1) requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-4(1)?
- •What audit logs, records, reports, or monitoring data validate AU-4(1) compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-4(1) effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-4(1) compliance?
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