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Controls / Audit and Accountability / 3.3.5
3.3.5
AU.L2-3.3.5 · Level 2

Correlate audit record review, analysis, and reporting processes for investigation and response to…

NIST SP 800-171 Rev 2 · §3.3.5

Correlate audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity.

Assessment objectives

From NIST SP 800-171A · 2 objectives must be met to satisfy this control
3.3.5[a] audit record review, analysis, and reporting processes for investigation and response to indications of unlawful, unauthorized, suspicious, or unusual activity are defined.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing audit record review, analysis, and reporting; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records across different repositories; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit record review, analysis, and reporting responsibilities; personnel with information security responsibilities].
Test
: [SELECT FROM: Mechanisms supporting analysis and correlation of audit records].
3.3.5[b] defined audit record review, analysis, and reporting processes are correlated.
Examine
[SELECT FROM: Audit and accountability policy; procedures addressing audit record review, analysis, and reporting; security plan; system design documentation; system configuration settings and associated documentation; system audit logs and records across different repositories; other relevant documents or records].
Interview
[SELECT FROM: Personnel with audit record review, analysis, and reporting responsibilities; personnel with information security responsibilities].
Test
: [SELECT FROM: Mechanisms supporting analysis and correlation of audit records].

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.