CMMC readiness · NIST 800-171 alignment · DFARS support Mon–Fri · 0800–1800 ET
Controls / Audit and Accountability / 3.3.4
3.3.4
AU.L2-3.3.4 · Level 2

Alert in the event of an audit logging process failure.

NIST SP 800-171 Rev 2 · §3.3.4

Alert in the event of an audit logging process failure.

Assessment objectives

From NIST SP 800-171A · 3 objectives must be met to satisfy this control
3.3.4[a] personnel or roles to be alerted in the event of an audit logging process failure are identified.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing response to audit logging processing failures; system design documentation; security plan; system configuration settings and associated documentation; list of personnel to be notified in case of an audit logging processing failure; system incident reports; system audit logs and records; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers].
Test
[SELECT FROM: Mechanisms implementing system response to audit logging processing failures].
3.3.4[b] types of audit logging process failures for which alert will be generated are defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing response to audit logging processing failures; system design documentation; security plan; system configuration settings and associated documentation; list of personnel to be notified in case of an audit logging processing failure; system incident reports; system audit logs and records; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers].
Test
[SELECT FROM: Mechanisms implementing system response to audit logging processing failures].
3.3.4[c] identified personnel or roles are alerted in the event of an audit logging process failure.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing response to audit logging processing failures; system design documentation; security plan; system configuration settings and associated documentation; list of personnel to be notified in case of an audit logging processing failure; system incident reports; system audit logs and records; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit and accountability responsibilities; personnel with information security responsibilities; system or network administrators; system developers].
Test
[SELECT FROM: Mechanisms implementing system response to audit logging processing failures].

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. 1-point control under the DoD Assessment Methodology. Lower scoring impact, but still required for full compliance. POA&M-eligible — deferral up to 180 days is allowed under conditional certification per 32 CFR 170.21.