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Establish requirements for audit review and reporting | Regulatory Compliance - Operational

Azure BuiltIn Policy definition

Source Azure Portal
Display name Establish requirements for audit review and reporting
Id b3c8cc83-20d3-3890-8bc8-5568777670f4
Version 1.1.0
Details on versioning
Category Regulatory Compliance
Microsoft Learn
Description CMA_0277 - Establish requirements for audit review and reporting
Additional metadata Name/Id: CMA_0277 / CMA_0277
Category: Operational
Title: Establish requirements for audit review and reporting
Ownership: Customer
Description: Microsoft recommends that your organization create and maintain audit and accountability policies and procedures that define the requirements and frequency for audit review, analysis, and reporting based on new information received from law enforcement, intelligence, or other credible sources of information. It is recommended to perform a full text analysis of logged privileged commands in a physically distinct component or subsystem of the system, or other system that is dedicated to that analysis. The Payment Card Industry Data Security Standard (PCI DSS) requires organizations to review the following at least daily: - Security events - Logs of all system components that store, process, or transmit cardholder data - Logs of all critical system components - Logs of all servers and system components that perform security functions. It is recommended to review the need of your organization for an external service provider to conduct an independent assurance with a defined scope and objective on one or more security domains. Microsoft recommends that your organization share reports resulting from such reviews and assessments with the legal authority and authorized members within the defined time frame of the request. The German Minimum Requirements for Risk Management requires: - The internal audit function to prepare a written report on each audit and submit it to the responsible members of the management board - The report to detail the audit subject and the audit findings, including the remedial measures, where appropriate, and to highlight material findings - To evaluate the results of the audit and to promptly submit serious findings to the management board - The audits to be documented by working documents. These shall show the work that has been performed as well as the identified findings and conclusions - The management board to provide the supervisory board at least once a year with concise information on the serious findings identified by the internal audit function and material findings that have not yet been remedied - The audit reports and working documents to be kept for six years. Revisions to the Principles for the Sound Management of Operational Risk require banks to conduct an internal/external audit with the scope and frequency of review sufficient to cover all activities and legal entities of a bank. The audit may include independent third parties, as appropriate. The effective independent review may consider reviewing the design and implementation of the operational risk management systems and associated governance processes, ensure validation processes are independent and implemented aligned to bank policies, review assurance of the integrity of inputs and processes and result in assessments of operational risk, ensure that the management responds to the issues raised promptly, accurately and adequately and assess whether the ORMF (Operational risk management framework) meets organizational needs and expectations and complies with statutory and legislative provisions, contractual arrangements, internal rules and ethical conduct. The principles also require the auditors/reviewers to be involved in the development, implementation and operation of operational risk management processes.
Requirements: The customer is responsible for implementing this recommendation.
Mode All
Type BuiltIn
Preview False
Deprecated False
Effect Default
Manual
Allowed
Manual, Disabled
RBAC role(s) none
Rule aliases none
Rule resource types IF (1)
Microsoft.Resources/subscriptions
Compliance
The following 34 compliance controls are associated with this Policy definition 'Establish requirements for audit review and reporting' (b3c8cc83-20d3-3890-8bc8-5568777670f4)
Control Domain Control Name MetadataId Category Title Owner Requirements Description Info Policy#
FedRAMP_High_R4 AU-6 FedRAMP_High_R4_AU-6 FedRAMP High AU-6 Audit And Accountability Audit Review, Analysis, And Reporting Shared n/a The organization: a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and b. Reports findings to [Assignment: organization-defined personnel or roles]. Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7. References: None. link 25
FedRAMP_High_R4 AU-6(1) FedRAMP_High_R4_AU-6(1) FedRAMP High AU-6 (1) Audit And Accountability Process Integration Shared n/a The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. link 11
FedRAMP_High_R4 RA-5(8) FedRAMP_High_R4_RA-5(8) FedRAMP High RA-5 (8) Risk Assessment Review Historic Audit Logs Shared n/a The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. Supplemental Guidance: Related control: AU-6. link 15
FedRAMP_Moderate_R4 AU-6 FedRAMP_Moderate_R4_AU-6 FedRAMP Moderate AU-6 Audit And Accountability Audit Review, Analysis, And Reporting Shared n/a The organization: a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and b. Reports findings to [Assignment: organization-defined personnel or roles]. Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7. References: None. link 25
FedRAMP_Moderate_R4 AU-6(1) FedRAMP_Moderate_R4_AU-6(1) FedRAMP Moderate AU-6 (1) Audit And Accountability Process Integration Shared n/a The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. link 11
FedRAMP_Moderate_R4 RA-5(8) FedRAMP_Moderate_R4_RA-5(8) FedRAMP Moderate RA-5 (8) Risk Assessment Review Historic Audit Logs Shared n/a The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. Supplemental Guidance: Related control: AU-6. link 15
hipaa 0202.09j1Organizational.3-09.j hipaa-0202.09j1Organizational.3-09.j 0202.09j1Organizational.3-09.j 02 Endpoint Protection 0202.09j1Organizational.3-09.j 09.04 Protection Against Malicious and Mobile Code Shared n/a Audit logs of the scans are maintained. 15
hipaa 0216.09j2Organizational.9-09.j hipaa-0216.09j2Organizational.9-09.j 0216.09j2Organizational.9-09.j 02 Endpoint Protection 0216.09j2Organizational.9-09.j 09.04 Protection Against Malicious and Mobile Code Shared n/a For systems considered not commonly affected by malicious software, the organization performs periodic assessments to identify and evaluate evolving malware threats to confirm whether such systems continue to not require anti-virus software. 13
hipaa 0217.09j2Organizational.10-09.j hipaa-0217.09j2Organizational.10-09.j 0217.09j2Organizational.10-09.j 02 Endpoint Protection 0217.09j2Organizational.10-09.j 09.04 Protection Against Malicious and Mobile Code Shared n/a The organization configures malicious code and spam protection mechanisms to (i) perform periodic scans of the information system according to organization guidelines; (ii) perform real-time scans of files from external sources at endpoints and network entry/exit points as the files are downloaded, opened, or executed in accordance with organizational security policy; and, (iii) block malicious code, quarantine malicious code, or send an alert to the administrator in response to malicious code detection. 25
hipaa 0714.10m2Organizational.7-10.m hipaa-0714.10m2Organizational.7-10.m 0714.10m2Organizational.7-10.m 07 Vulnerability Management 0714.10m2Organizational.7-10.m 10.06 Technical Vulnerability Management Shared n/a The technical vulnerability management program is evaluated on a quarterly basis. 20
hipaa 0790.10m3Organizational.22-10.m hipaa-0790.10m3Organizational.22-10.m 0790.10m3Organizational.22-10.m 07 Vulnerability Management 0790.10m3Organizational.22-10.m 10.06 Technical Vulnerability Management Shared n/a The organization reviews historic audit logs to determine if high vulnerability scan findings identified in the information system have been previously exploited. 17
hipaa 12101.09ab1Organizational.3-09.ab hipaa-12101.09ab1Organizational.3-09.ab 12101.09ab1Organizational.3-09.ab 12 Audit Logging & Monitoring 12101.09ab1Organizational.3-09.ab 09.10 Monitoring Shared n/a The organization specifies how often audit logs are reviewed, how the reviews are documented, and the specific roles and responsibilities of the personnel conducting the reviews, including the professional certifications or other qualifications required. 18
hipaa 12103.09ab1Organizational.5-09.ab hipaa-12103.09ab1Organizational.5-09.ab 12103.09ab1Organizational.5-09.ab 12 Audit Logging & Monitoring 12103.09ab1Organizational.5-09.ab 09.10 Monitoring Shared n/a Information collected from multiple sources is aggregated for review. 11
hipaa 1216.09ab3System.12-09.ab hipaa-1216.09ab3System.12-09.ab 1216.09ab3System.12-09.ab 12 Audit Logging & Monitoring 1216.09ab3System.12-09.ab 09.10 Monitoring Shared n/a Automated systems are used to review monitoring activities of security systems (e.g., IPS/IDS) and system records on a daily basis, and identify and document anomalies. 20
hipaa 1270.09ad1System.12-09.ad hipaa-1270.09ad1System.12-09.ad 1270.09ad1System.12-09.ad 12 Audit Logging & Monitoring 1270.09ad1System.12-09.ad 09.10 Monitoring Shared n/a The organization ensures proper logging is enabled in order to audit administrator activities; and reviews system administrator and operator logs on a regular basis. 18
hipaa 1512.11a2Organizational.8-11.a hipaa-1512.11a2Organizational.8-11.a 1512.11a2Organizational.8-11.a 15 Incident Management 1512.11a2Organizational.8-11.a 11.01 Reporting Information Security Incidents and Weaknesses Shared n/a Intrusion detection/information protection system (IDS/IPS) alerts are utilized for reporting information security events. 17
hipaa 1519.11c2Organizational.2-11.c hipaa-1519.11c2Organizational.2-11.c 1519.11c2Organizational.2-11.c 15 Incident Management 1519.11c2Organizational.2-11.c 11.02 Management of Information Security Incidents and Improvements Shared n/a For unauthorized disclosures of covered information, a log is maintained and annually submitted to the appropriate parties (e.g., a state, regional or national regulatory agency). 14
ISO27001-2013 A.12.4.1 ISO27001-2013_A.12.4.1 ISO 27001:2013 A.12.4.1 Operations Security Event Logging Shared n/a Event logs recording user activities, exceptions, faults and information security events shall be produced, kept and regularly reviewed. link 53
ISO27001-2013 A.16.1.2 ISO27001-2013_A.16.1.2 ISO 27001:2013 A.16.1.2 Information Security Incident Management Reporting information security events Shared n/a Information security events shall be reported through appropriate management channels as quickly as possible. link 14
ISO27001-2013 A.16.1.4 ISO27001-2013_A.16.1.4 ISO 27001:2013 A.16.1.4 Information Security Incident Management Assessment of and decision on information security events Shared n/a Information security events shall be assessed and it shall be decided if they are to be classified as information security incidents. link 23
NIST_SP_800-171_R2_3 .3.1 NIST_SP_800-171_R2_3.3.1 NIST SP 800-171 R2 3.3.1 Audit and Accountability 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 Shared Microsoft and the customer share responsibilities for implementing this requirement. An event is any observable occurrence in a system, which includes unlawful or unauthorized system activity. Organizations identify event types for which a logging functionality is needed as those events which are significant and relevant to the security of systems and the environments in which those systems operate to meet specific and ongoing auditing needs. Event types can include password changes, failed logons or failed accesses related to systems, administrative privilege usage, or third-party credential usage. In determining event types that require logging, organizations consider the monitoring and auditing appropriate for each of the CUI security requirements. Monitoring and auditing requirements can be balanced with other system needs. For example, organizations may determine that systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit logging capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of event types, the logging necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented or cloud-based architectures. Audit record content that may be necessary to satisfy this requirement includes time stamps, source and destination addresses, user or process identifiers, event descriptions, success or fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the system after the event occurred). Detailed information that organizations may consider in audit records includes full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit log information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest. Audit logs are reviewed and analyzed as often as needed to provide important information to organizations to facilitate risk-based decision making. [SP 800-92] provides guidance on security log management. link 53
NIST_SP_800-53_R4 AU-6 NIST_SP_800-53_R4_AU-6 NIST SP 800-53 Rev. 4 AU-6 Audit And Accountability Audit Review, Analysis, And Reporting Shared n/a The organization: a. Reviews and analyzes information system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity]; and b. Reports findings to [Assignment: organization-defined personnel or roles]. Supplemental Guidance: Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority. Related controls: AC-2, AC-3, AC-6, AC-17, AT-3, AU-7, AU-16, CA-7, CM-5, CM-10, CM-11, IA-3, IA-5, IR-5, IR-6, MA-4, MP-4, PE-3, PE-6, PE-14, PE-16, RA-5, SC-7, SC-18, SC-19, SI-3, SI-4, SI-7. References: None. link 25
NIST_SP_800-53_R4 AU-6(1) NIST_SP_800-53_R4_AU-6(1) NIST SP 800-53 Rev. 4 AU-6 (1) Audit And Accountability Process Integration Shared n/a The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. Supplemental Guidance: Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits. Related controls: AU-12, PM-7. link 11
NIST_SP_800-53_R4 RA-5(8) NIST_SP_800-53_R4_RA-5(8) NIST SP 800-53 Rev. 4 RA-5 (8) Risk Assessment Review Historic Audit Logs Shared n/a The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. Supplemental Guidance: Related control: AU-6. link 15
NIST_SP_800-53_R5 AU-6 NIST_SP_800-53_R5_AU-6 NIST SP 800-53 Rev. 5 AU-6 Audit and Accountability Audit Record Review, Analysis, and Reporting Shared n/a a. Review and analyze system audit records [Assignment: organization-defined frequency] for indications of [Assignment: organization-defined inappropriate or unusual activity] and the potential impact of the inappropriate or unusual activity; b. Report findings to [Assignment: organization-defined personnel or roles]; and c. Adjust the level of audit record review, analysis, and reporting within the system when there is a change in risk based on law enforcement information, intelligence information, or other credible sources of information. link 25
NIST_SP_800-53_R5 AU-6(1) NIST_SP_800-53_R5_AU-6(1) NIST SP 800-53 Rev. 5 AU-6 (1) Audit and Accountability Automated Process Integration Shared n/a Integrate audit record review, analysis, and reporting processes using [Assignment: organization-defined automated mechanisms]. link 11
NIST_SP_800-53_R5 RA-5(8) NIST_SP_800-53_R5_RA-5(8) NIST SP 800-53 Rev. 5 RA-5 (8) Risk Assessment Review Historic Audit Logs Shared n/a Review historic audit logs to determine if a vulnerability identified in a [Assignment: organization-defined system] has been previously exploited within an [Assignment: organization-defined time period]. link 15
PCI_DSS_v4.0 10.4.1 PCI_DSS_v4.0_10.4.1 PCI DSS v4.0 10.4.1 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are reviewed to identify anomalies or suspicious activity Shared n/a The following audit logs are reviewed at least once daily: • All security events. • Logs of all system components that store, process, or transmit CHD and/or SAD. • Logs of all critical system components. • Logs of all servers and system components that perform security functions (for example, network security controls, intrusion-detection systems/intrusion-prevention systems (IDS/IPS), authentication servers). link 11
PCI_DSS_v4.0 10.4.1.1 PCI_DSS_v4.0_10.4.1.1 PCI DSS v4.0 10.4.1.1 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are reviewed to identify anomalies or suspicious activity Shared n/a Automated mechanisms are used to perform audit log reviews. link 11
PCI_DSS_v4.0 10.4.2 PCI_DSS_v4.0_10.4.2 PCI DSS v4.0 10.4.2 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are reviewed to identify anomalies or suspicious activity Shared n/a Logs of all other system components (those not specified in Requirement 10.4.1) are reviewed periodically. link 11
PCI_DSS_v4.0 10.4.2.1 PCI_DSS_v4.0_10.4.2.1 PCI DSS v4.0 10.4.2.1 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are reviewed to identify anomalies or suspicious activity Shared n/a The frequency of periodic log reviews for all other system components (not defined in Requirement 10.4.1) is defined in the entity’s targeted risk analysis, which is performed according to all elements specified in Requirement12.3.1 link 11
PCI_DSS_v4.0 10.4.3 PCI_DSS_v4.0_10.4.3 PCI DSS v4.0 10.4.3 Requirement 10: Log and Monitor All Access to System Components and Cardholder Data Audit logs are reviewed to identify anomalies or suspicious activity Shared n/a Exceptions and anomalies identified during the review process are addressed. link 11
SWIFT_CSCF_v2022 6.1 SWIFT_CSCF_v2022_6.1 SWIFT CSCF v2022 6.1 6. Detect Anomalous Activity to Systems or Transaction Records Ensure that local SWIFT infrastructure is protected against malware and act upon results. Shared n/a Anti-malware software from a reputable vendor is installed, kept up-to-date on all systems, and results are considered for appropriate resolving actions. link 31
SWIFT_CSCF_v2022 6.4 SWIFT_CSCF_v2022_6.4 SWIFT CSCF v2022 6.4 6. Detect Anomalous Activity to Systems or Transaction Records Record security events and detect anomalous actions and operations within the local SWIFT environment. Shared n/a Capabilities to detect anomalous activity are implemented, and a process or tool is in place to keep and review logs. link 52
Initiatives usage
Initiative DisplayName Initiative Id Initiative Category State Type
FedRAMP High d5264498-16f4-418a-b659-fa7ef418175f Regulatory Compliance GA BuiltIn
FedRAMP Moderate e95f5a9f-57ad-4d03-bb0b-b1d16db93693 Regulatory Compliance GA BuiltIn
HITRUST/HIPAA a169a624-5599-4385-a696-c8d643089fab Regulatory Compliance GA BuiltIn
ISO 27001:2013 89c6cddc-1c73-4ac1-b19c-54d1a15a42f2 Regulatory Compliance GA BuiltIn
NIST SP 800-171 Rev. 2 03055927-78bd-4236-86c0-f36125a10dc9 Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 4 cf25b9c1-bd23-4eb6-bd2c-f4f3ac644a5f Regulatory Compliance GA BuiltIn
NIST SP 800-53 Rev. 5 179d1daa-458f-4e47-8086-2a68d0d6c38f Regulatory Compliance GA BuiltIn
PCI DSS v4 c676748e-3af9-4e22-bc28-50feed564afb Regulatory Compliance GA BuiltIn
SWIFT CSP-CSCF v2022 7bc7cd6c-4114-ff31-3cac-59be3157596d Regulatory Compliance GA BuiltIn
History
Date/Time (UTC ymd) (i) Change type Change detail
2022-09-27 16:35:32 change Minor (1.0.0 > 1.1.0)
2022-09-13 16:35:29 add b3c8cc83-20d3-3890-8bc8-5568777670f4
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