CMMC readiness · NIST 800-171 alignment · DFARS support Mon–Fri · 0800–1800 ET
Controls / Audit and Accountability / 3.3.1
3.3.1
AU.L2-3.3.1 · Level 2

Create and retain system audit logs and records to the extent needed to enable the monitoring,…

NIST SP 800-171 Rev 2 · §3.3.1

Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity.

Assessment objectives

From NIST SP 800-171A · 6 objectives must be met to satisfy this control
3.3.1[a] audit logs needed (i.e., event types to be logged) to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity are specified.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.1[b] the content of audit records needed to support monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity is defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.1[c] audit records are created (generated).
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.1[d] audit records, once created, contain the defined content.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.1[e] retention requirements for audit records are defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].
3.3.1[f] audit records are retained as defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing auditable events; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records; system auditable events; system incident reports; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators].
Test
[SELECT FROM: Mechanisms implementing system audit logging].

What we look for in practice

The following are placeholder notes that should be refined based on practice experience.

What assessors look for in practice. Documented evidence that this control is implemented across all CUI-handling systems within scope. Specific artifacts vary, but expect requests for written procedures, system configurations, and operational records demonstrating the control is active.

Common failure patterns. Typical issues include incomplete documentation, inconsistent implementation across systems, and missing periodic review records. Refine this section as your practice accumulates direct assessment experience.

Strong evidence looks like. Formal policy referencing this control, technical configurations demonstrating enforcement, periodic review logs with sign-off, and procedures for handling exceptions.

Scoring and POA&M context. 5-point control under the DoD Assessment Methodology. Highest scoring impact — treat as a foundational requirement. Not POA&M-eligible — must be implemented at assessment time.