When it comes to cybersecurity compliance in DoD contracting, visibility is everything. You cannot secure what you cannot see, and the Audit and Accountability (AU) domain within the Cybersecurity Maturity Model Certification (CMMC) framework is designed to give organizations that critical insight. This domain makes sure your systems keep detailed records of activity and that these records are actively reviewed to spot suspicious behavior or policy violations.
If you are aiming for CMMC Level 2 or Level 3 certification, understanding and implementing the AU requirements is non-negotiable. Unlike Level 1, where audit logging is not required, Levels 2 and 3 emphasize accountability through diligent recordkeeping, detection, and timely responses. In this article, you'll learn exactly what these requirements entail, common pitfalls to avoid, and how automation tools can help you maintain compliance with less hassle.
Imagine trying to solve a crime without any surveillance footage or witness statements. That is what managing cybersecurity incidents looks like without audit logs. The AU domain ensures your organization keeps a reliable trail of system activities, much like security cameras and access logs in a physical building. This visibility:
- Who accessed your sensitive Federal Contract Information (FCI) or Controlled Unclassified Information (CUI)
- When and how they accessed it
- Any failed attempts or unusual patterns that could indicate an intrusion
Consider the infamous 2017 Equifax breach. Attackers exploited gaps in logging and monitoring, flying under the radar for months. Organizations that fail to implement robust audit controls risk huge operational, financial, and reputational damage.
CMMC 2.0 sets clear expectations for audit management across Levels 2 and 3. Here’s the breakdown:
| Practice Code | Practice Title | Level | What It Means |
|---|---|---|---|
| AU.L2-3.3.1 | Create and retain system audit logs | 2 | Log system events and activities fully to detect misuse |
| AU.L2-3.3.2 | Ensure user accountability for audit log access | 2 | Restrict audit log access to authorized personnel only |
| AU.L2-3.3.3 | Review and update audit logs regularly | 2 | Schedule and perform frequent audit log examinations |
| AU.L2-3.3.4 | Alert on audit processing failures | 2 | Automatically notify relevant teams if audit logging fails |
| AU.L2-3.3.5 | Correlate audit log review with security incidents | 2 | Link logs with known security events for in-depth investigations |
| AU.L2-3.3.6 | Protect audit information and tools | 2 | Safeguard audit data and tools from unauthorized tampering |
| AU.L2-3.3.7 | Limit audit record retention | 2 | Retain logs for a defined period helpful to investigations |
| AU.L3-3.3.8e | Enhanced auditing for high-risk systems | 3 | Use automated continuous monitoring to detect advanced threats |
“Audit mechanisms help organizations detect and respond to security-relevant events and support incident investigations.” — NIST SP 800-171 R2
When undergoing a CMMC assessment, auditors will look for solid evidence that you not only generate audit logs but actively use them as part of your cybersecurity program. Key pieces of evidence include:
- Policies and procedures governing the logging, reviewing, and retention of audit records.
- Actual system and application logs showing event data.
- Configuration snapshots verifying log retention settings and access controls.
- Incident response reports that reference audit data reviewed during investigations.
A compliant organization demonstrates ongoing commitment through documented processes, automated logging mechanisms, timely reviews, and alerting on any audit failures.
Many organizations stumble over common audit pitfalls:
- Assuming firewall logs cover all needs instead of collecting comprehensive system event logs.
- Neglecting to restrict access to audit logs, which risks tampering or unauthorized disclosure.
- Missing automated alerts for failures in audit capture leads to blind spots.
To avoid these traps:
- Implement automated log collection and alerting systems.
- Regularly test audit logging functionality and conduct timely reviews.
- Enforce strict access controls on audit information and related tools.
To streamline efforts, use checklists and templates that map directly to CMMC AU practices. Essential tools include:
- Security Information and Event Management (SIEM) platforms to aggregate and analyze logs.
- File integrity monitoring tools for auditing critical system files.
- Automated alerting software to notify teams of anomalies or failures.
The Audit and Accountability domain is foundational for maintaining security visibility and strengthening your defense against cyber threats. By carefully implementing the eight mandated practices for CMMC Levels 2 and 3, maintaining rigorous audit controls, and using automation tools to manage logs and alerts, you create a reliable safety net to quickly identify and respond to incidents.
Looking to simplify audit compliance? Our centralized logging dashboard automates evidence collection and generates compliance-ready reports, reducing the burden on your security team while boosting confidence during assessments.
For a broader perspective on CMMC compliance, explore our comprehensive CMMC Domains Overview post, which breaks down all CMMC domains and their importance. Additionally, understand the Role of C3PAOs in Cybersecurity Compliance to better prepare for assessments. To grasp compliance strategies in action, read How Organizations Are Tackling CMMC 2.0 Compliance for real-world insights.
Ready to take control of your CMMC audit and accountability requirements? Sign up for our CMMC dashboard to automate your compliance workflow and stay audit-ready with less effort.
