AU-01 Policy and Procedures

a. Develop, document, and disseminate to au-1_prm_1:

1. au-01_odp.03 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 au-01_odp.04 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 au-01_odp.05 and following au-01_odp.06 ; and

2. Procedures au-01_odp.07 and following au-01_odp.08.

Parameter ID Definition
au-1_prm_1 organization-defined personnel or roles
au-01_odp.01 personnel or roles
au-01_odp.02 personnel or roles

Selection (one-or-more):

  • organization-level
  • mission/business process-level
  • system-level
au-01_odp.04 official
au-01_odp.05 frequency
au-01_odp.06 events
au-01_odp.07 frequency
au-01_odp.08 events



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.

References 4

Related controls 3