AU-5(3)—Configurable Traffic Volume Thresholds
>Control Description
Enforce configurable network communications traffic volume thresholds reflecting limits on audit log storage capacity and ☑reject; delay network traffic above those thresholds.
>Supplemental Guidance
Organizations have the capability to reject or delay the processing of network communications traffic if audit logging information about such traffic is determined to exceed the storage capacity of the system audit logging function. The rejection or delay response is triggered by the established organizational traffic volume thresholds that can be adjusted based on changes to audit log storage capacity.
>Assessment Interview Topics
Questions assessors commonly ask
Process & Governance:
- •What formal policies and procedures govern the implementation of AU-5(3) (Configurable Traffic Volume Thresholds)?
- •Who are the designated roles responsible for implementing, maintaining, and monitoring AU-5(3)?
- •How frequently is the AU-5(3) policy reviewed and updated, and what triggers policy changes?
- •What training or awareness programs ensure personnel understand their responsibilities related to AU-5(3)?
Technical Implementation:
- •Describe the specific technical mechanisms or controls used to enforce AU-5(3) requirements.
- •What automated tools, systems, or technologies are deployed to implement AU-5(3)?
- •How is AU-5(3) integrated into your system architecture and overall security posture?
- •What configuration settings, parameters, or technical specifications enforce AU-5(3) requirements?
Evidence & Documentation:
- •What documentation demonstrates the complete implementation of AU-5(3)?
- •What audit logs, records, reports, or monitoring data validate AU-5(3) compliance?
- •Can you provide evidence of periodic reviews, assessments, or testing of AU-5(3) effectiveness?
- •What artifacts would you present during a FedRAMP assessment to demonstrate AU-5(3) compliance?
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