# AU-03 Content of Audit Records

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

Statement: Ensure that audit records contain information that establishes the following: a. What type of event occurred; b. When the event occurred; c. Where the event occurred; d. Source of the event; e. Outcome of the event; and f. Identity of any individuals, subjects, or objects/entities associated with the event.
Guidance: Audit record content that may be necessary to support the auditing function includes event descriptions (item a), time stamps (item b), source and destination addresses (item c), user or process identifiers (items d and f), success or fail indications (item e), and filenames involved (items a, c, e, and f) . Event outcomes include indicators of event success or failure and event-specific results, such as the system security and privacy posture after the event occurred. Organizations consider how audit records can reveal information about individuals that may give rise to privacy risks and how best to mitigate such risks. For example, there is the potential to reveal personally identifiable information in the audit trail, especially if the trail records inputs or is based on patterns or time of usage.

## Enhancements (2)
- AU-03(01) Additional Audit Information. Baselines: moderate, high
- AU-03(03) Limit Personally Identifiable Information Elements. Baselines: privacy
Withdrawn by NIST: AU-03(02) (now in PL-09).
Each enhancement's statement: /api/v1/controls/AU-03?fields=enhancements

## Patterns that use it (22)
- Critical (7): SP-027 Secure LLM Usage; SP-028 Secure DevOps Pipeline Pattern; SP-031 Security Monitoring and Response; SP-045 AI Governance and Responsible AI; SP-047 Secure Agentic AI Frameworks; SP-049 AI in Security Operations (draft); SP-054 CBDC and Digital Currency Infrastructure (draft)
- Important (13): SP-001 Client Module; SP-002 Server Module; SP-008 Public Web Server Pattern; SP-016 DMZ Module; SP-022 Board of Directors Room; SP-029 Zero Trust Architecture; SP-030 API Security; SP-032 Modern Authentication; SP-033 Passkey Authentication; SP-036 Incident Response; SP-037 Privileged User Management; SP-044 SaaS Identity Lifecycle Management; SP-051 Tokenised Asset Security Architecture (draft)
- Standard (2): SP-039 Client-Side Encryption and Data Privacy; SP-053 Zero-Knowledge Proof Architecture (draft)

## Clauses by framework (73 frameworks)
- iso_27001_2022: 7.5, A.5.28, A.8.15. OSA's own, not in NIST's crosswalk: 7.5
- iso_27002_2022: 5.28, 8.15
- cobit_2019: DSS06
- pci_dss_v4: 10.2
- nist_csf_2: PR.PS-04, RS.AN-07. OSA's own, not in NIST's crosswalk: RS.AN-07
- cis_controls_v8: CIS 1.3, CIS 1.4, CIS 3.14, CIS 8, CIS 8.2, CIS 8.5, CIS 8.6, CIS 8.7, CIS 8.8, CIS 13.6
- soc2_tsc: PI1.4
- finos_ccc: CCC-C04, CCC-C17
- iso_42001_2023: A.6.2.8
- iec_62443: 3-3 SR 2.8
- asd_e8: E8-1 ML2
- apra_cps_234: Para 22-23
- bsi_grundschutz: OPS.1.1.5
- anssi: Hygiene.29, SecNumCloud.13.7
- osfi_b13: B-13.3.3
- finma_circular: IV.C(66), IV.C(67)
- gdpr: Art.7(1), Art.30(1)(g), Art.33(3)(a), Art.33(3)(b)
- dora: Art.10(1)
- bio2: 5.28, 8.15
- rbi_csf: Annex1.17, ITGRCA.15
- fisc: FISC.O2, FISC.O11
- lgpd_bcb: BCB.Art.20, LGPD.Art.8, LGPD.Art.42-45
- hkma_tme1: TME1.5.2, TME1.8.2
- mlps_2: 8.1.3.5, 8.1.4.3
- cra: CRA.I.2d, CRA.I.2l
- swift_cscf: SWIFT.6.4
- cbb_tm: TM-12
- cbuae: CR-3
- nca_ecc: 2-12
- qatar_nia: OS
- uae_ia: T7
- bog_cisd: CISD-VII
- bom_ctrm: 3.13, 4.2
- cbe_csf: CD-1, CTO-5
- cbn_csf: Part3.5
- sa_js2: JS2-7.3
- bcbs_239: Principle 3
- bot_cyber: Ch3.1
- cpmi_pfmi: CG.DE, PFMI.P17
- eba_ict: 3.4.5, 3.5(c)
- ecb_croe: CROE.2.4
- ffiec_is: II.C.15, II.C.18, III.B
- hipaa_sr: §164.308(a)(1)(ii)(D), §164.312(b)
- iosco_cyber: DET-1
- nydfs_500: 500.6
- sebi_cscrf: DE.AU
- cmmc_2: AU
- nrc_73_54: RG5.71-A-AU
- ieee_1686: 5.2
- doe_c2m2: SITUATION
- api_1164: Sec 9
- iaea_nss: Sec 5.5
- pci_pts: L
- pci_hsm: 8
- common_criteria: CC Part 2 — FAU
- isae_3402: Clause 4
- fca_sysc_13: SYSC 13.7.5
- fda_21_cfr_11: §11.10(e), §11.50
- fda_cyber: SA-5
- hitrust_csf: 09.g
- iso_27799: 12.4, H.4
- lloyds_ms: MS8.12
- naic_ds: 4-audit, 4B
- pra_ss1_23: P3.2, P4.3, P4.4, P-IT.2
- solvency_ii: Pillar3-Reporting
- csa_ccm_v4: LOG-07, LOG-08, LOG-11, LOG-12
- csa_aicm: LOG-07, LOG-08, LOG-11, LOG-12, LOG-15
- ccss_v9: 1.05.2, 2.04.1
- mica: Art.68(1)
- basel_sco60: SCO60.55, SCO60.62, SCO60.66, SCO60.73
- bssc: GSP-12
- sec_custody_digital: SEC-CD-04, SEC-CD-15, SEC-CD-18, SEC-CD-20
- dpdpa: Rules.6(1)(c)
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-03
- Clauses only: /api/v1/controls/AU-03?fields=mappings
- Page for people: /controls/au-03/