# AU-01 Policy and Procedures

NIST SP 800-53 control. Family: AU Audit and Accountability. Function: preventative. Baselines: low, moderate, high, privacy. Mapping licence: CC BY-SA 4.0.

Statement: a. Develop, document, and disseminate to [Assignment: organization-defined personnel or roles]: 1. [Selection (one or more): Organization-level; Mission/business process-level; System-level] audit and accountability policy that: (a) Addresses purpose, scope, roles, responsibilities, management commitment, coordination among organizational entities, and compliance; and (b) Is consistent with applicable laws, executive orders, directives, regulations, policies, standards, and guidelines; and 2. Procedures to facilitate the implementation of the audit and accountability policy and the associated audit and accountability controls; b. Designate an [Assignment: organization-defined official] to manage the development, documentation, and dissemination of the audit and accountability policy and procedures; and c. Review and update the current audit and accountability: 1. Policy [Assignment: organization-defined frequency] and following [Assignment: organization-defined events]; and 2. Procedures [Assignment: organization-defined frequency] and following [Assignment: organization-defined events].
Guidance: Audit and accountability policy and procedures address the controls in the AU family that are implemented within systems and organizations. The risk management strategy is an important factor in establishing such policies and procedures. Policies and procedures contribute to security and privacy assurance. Therefore, it is important that security and privacy programs collaborate on the development of audit and accountability policy and procedures. Security and privacy program policies and procedures at the organization level are preferable, in general, and may obviate the need for mission- or system-specific policies and procedures. The policy can be included as part of the general security and privacy policy or be represented by multiple policies that reflect the complex nature of organizations. Procedures can be established for security and privacy programs, for mission or business processes, and for systems, if needed. Procedures describe how the policies or controls are implemented and can be directed at the individual or role that is the object of the procedure. Procedures can be documented in system security and privacy plans or in one or more separate documents. Events that may precipitate an update to audit and accountability policy and procedures include assessment or audit findings, security incidents or breaches, or changes in applicable laws, executive orders, directives, regulations, policies, standards, and guidelines. Simply restating controls does not constitute an organizational policy or procedure.

## Patterns that use it (3)
- Important (3): SP-004 SOA Publication and Location Pattern; SP-018 Information Security Management System; SP-025 Advanced Monitoring and Detection

## Clauses by framework (58 frameworks)
- iso_27001_2022: 5.2, 5.3, 7.5, A.5.1, A.5.2, A.5.4, A.5.31, A.5.36, A.5.37, A.8.15. OSA's own, not in NIST's crosswalk: A.8.15
- iso_27002_2022: 5.1
- pci_dss_v4: 10.1, 12.1
- nist_csf_2: GV.OC-03, GV.OV-01, GV.PO-01, GV.PO-02, GV.SC-03, ID.IM-01, ID.IM-02, ID.IM-03
- cis_controls_v8: CIS 8, CIS 8.1
- soc2_tsc: CC1.2-POF1, CC1.4-POF1, CC2.2-POF1, CC2.2-POF7, CC5.3, CC5.3-POF1, CC5.3-POF6, CC7.2, CC7.2-POF1, P1.1-POF5
- iso_42001_2023: A.6.2.8
- pra_op_resilience: SS2/21-6.2
- bsi_grundschutz: OPS.1.1.5
- anssi: Hygiene.2, Hygiene.29, RGS.1.3, SecNumCloud.6.1, SecNumCloud.13.7
- osfi_b13: B-13.1.3, B-13.3.3
- finma_circular: IV.A(23), IV.C(66), IV.C(67)
- gdpr: Art.5(2), Art.24(1), Art.30(1), Art.30(2)
- dora: Art.6(5), Art.6(8)
- bio2: 5.1
- rbi_csf: Annex1.16, Annex1.17, ITGRCA.15
- fisc: FISC.O7, FISC.O11
- lgpd_bcb: BCB.Art.2, BCB.Art.18, BCB.Art.20, LGPD.Art.6, LGPD.Art.42-45, LGPD.Art.46
- hkma_tme1: TME1.2.5, TME1.2.6
- mlps_2: 8.1.5.2
- dnb_good_practice: DNB.1.2
- cra: CRA.I.2l
- cbb_tm: TM-16
- nca_ecc: 1-3, 2-12
- qatar_nia: OS
- sama_csf: 1.2
- uae_ia: T3, T7
- bog_cisd: CISD-COMP, CISD-IV
- bom_ctrm: 1.5, 5.4
- cbn_csf: Part1.3
- popia: s8, s17, s19
- bcbs_239: Principle 3
- bot_cyber: Ch6.1
- eba_ict: 3.3.5, 3.4.1
- ffiec_is: II.C.1
- hipaa_sr: §164.308(a)(1)(ii)(D), §164.312(b), §164.316(a), §164.316(b)(1)
- iosco_cyber: GOV-1
- nydfs_500: 500.3
- sebi_cscrf: DE.AU
- cmmc_2: AU
- pci_hsm: 10
- common_criteria: CC Part 2 — FAU
- isae_3402: Clause 4
- fca_sysc_13: SYSC 13.G.4
- fda_21_cfr_11: §11.10(e)
- hitrust_csf: 04.a, 09.g
- iso_27799: 5.1, 12.4
- lloyds_ms: MS8.2
- naic_ds: 7
- pra_ss1_23: P-IT.2
- solvency_ii: Art.41(3), Art.46
- csa_ccm_v4: AA-01, LOG-01
- csa_aicm: A&A-01, LOG-01
- ccss_v9: 2.04.1
- mica: Art.43(1), Art.62(9), Art.63(2), Art.82(1), Art.94(1)
- basel_sco60: SCO60.50, SCO60.74
- bssc: GSP-12
- sec_custody_digital: SEC-CD-14, SEC-CD-15, SEC-CD-17
OSA's mapping for iso_27001_2022 and nist_csf_2 takes NIST's published crosswalk as its base. A clause not marked as OSA's own is in that crosswalk.

## More
- This control as JSON, with guidance and ATT&CK techniques: /api/v1/controls/AU-01
- Clauses only: /api/v1/controls/AU-01?fields=mappings
- Page for people: /controls/au-01/