3.3.4 has a weight of -1 points

(Audit and Accountability Family) 4/9

Alert in the event of an audit logging process failure.

Video

Example of Sysytem Security Plan (SSP):

System Security Plan (SSP)

Control 3.3.4: Alert in the Event of an Audit Logging Process Failure

Implementation:

1. Role-Based Alert Configuration at [Company Name]:

  • Personnel/Roles for Alerts: At our company, we have configured specific roles, including ‘administrator’ and ‘standard user’, in our SIEM system, Microsoft Sentinel. This ensures that designated personnel receive real-time alerts tailored to their specific roles.
  • Role Demarcation: Within our organization, only authorized team administrators receive alerts regarding audit logging failures, ensuring a confidential and efficient response.

2. Alert Triggers & Types at [Company Name]:

  • Defined Failures: Our SIEM system is calibrated to recognize and alert for specific audit logging process failures. Examples of these failures include:
    • Log transmission interruptions from endpoints.
    • Unauthorized access attempts to the logging system.
    • Log data corruption or deletion.
    • Overload or system crashes disrupting logging processes.

3. System Health & Logging Integrity at [Company Name]:

  • End-to-End Logging: Our SIEM system Microsoft Sentinel ensures the integrity of log transmissions from every endpoint. Disruptions or failures in this process immediately trigger alerts.
  • SIEM System Health: Beyond just external monitoring, our SIEM system is equipped to perform internal diagnostic checks. Any internal malfunctions trigger instantaneous alerts.

    4. Verification & Proof at [Company Name]:

    • Support Tickets: In case of an audit process logging failure, a support ticket is automatically generated. Subsequently, our Incident Response Procedures for Audit Logging Failures is activated. (Document attached.).

    5. Configured Alerting Mechanism at [Company Name]:

    • Notification Channels: We have established a multi-channel notification system that includes email alerts, SMS messages, and direct notifications, ensuring that any discrepancies in audit logging are promptly communicated.
    • Assigned Responsibility: We have trained and designated specific teams or personnel as the primary responders to these alerts, reinforcing our commitment to swift and effective countermeasures.
    • Escalation & Incident Response: Clear escalation procedures are in place at [Company Name]. Furthermore, our documented incident response protocol guides the systematic investigation, troubleshooting, and recovery from any detected audit logging anomalies.
    • Record Maintenance: Our commitment to transparency and accountability is evident in our meticulous record-keeping. All detected failures, along with their respective investigative actions and resolutions, are diligently documented within our company’s ticketing system.

       

      Example of Plan of Action and Milestones ( POA & M):

      Plan of Action and Milestones (POA&M) for Control 3.3.4

      1. Control Information:

      • Control ID: 3.3.4
      • Control Title: Alert in the event of an audit logging process failure.
      • Description: Ensure the system triggers an alert if there’s a failure in the audit logging process.

      2. Identified Weaknesses:

      • No redundant alerting system in place.
      • Lack of periodic review for alert configurations.

      3. Planned Remediation Actions:

      a. Redundant Alerting System:

      • Description: Implement a secondary alerting mechanism to ensure no alerts are missed.
      • Responsible Party: IT Department.
      • Estimated Completion Date: MM/DD/YYYY.
      • Resources Required: Additional SIEM licensing, IT personnel time.
      • Status: Not started.

      b. Periodic Review of Alert Configurations:

      • Description: Implement a quarterly review of alert configurations to ensure they are up to date with the latest threats.
      • Responsible Party: IT Security Team.
      • Estimated Completion Date: MM/DD/YYYY.
      • Resources Required: IT Security Team time, updated threat intelligence.
      • Status: Not started.

      4. Progress Monitoring:

      • Review Dates: Scheduled quarterly reviews on MM/DD/YYYY, MM/DD/YYYY, etc.
      • Updates: [Any updates on the remediation actions will be noted here, including any changes to the estimated completion dates or resources required.]

      5. Sign Off:

      • POA&M Creator: [Name], [Title], [Date]
      • Authorizing Official: [Name], [Title], [Date]

      Incident Response Procedures for Audit Logging Failures:

      Incident Response Procedures for Audit Logging Failures

      1. Introduction: This procedure outlines the necessary steps to handle incidents related to audit logging failures, ensuring timely identification, management, and resolution.

      2. Purpose: To provide clear guidance and systematic steps for investigating, troubleshooting, resolving, and recovering from incidents related to audit logging failures.

      3. Scope: This procedure applies to all systems, applications, and platforms that have audit logging capabilities.

      4. Procedure:

      a. Detection and Identification:

      • i. Continuous monitoring of the alerting system for any notifications related to audit logging failures.
      • ii. Regular reviews of system and application logs to detect any discrepancies or anomalies.

      b. Initial Investigation:

      • i. Confirm the incident – ensure it’s not a false positive.
      • ii. Determine the scale of the issue – how many systems or applications are affected.
      • iii. Document the initial findings.

      c. Containment:

      • i. Take immediate steps to contain the incident, such as isolating affected systems or temporarily disabling certain services.
      • ii. Backup all logs and system states for later analysis. Preserve evidence.

      d. Troubleshooting & Analysis:

      • i. Identify the root cause of the audit logging failure.
      • ii. Examine the system and application logs for any signs of breaches or other security incidents that might have triggered the logging failure.
      • iii. Document all findings in detail.

      e. Resolution:

      • i. Develop a remediation plan to address the root cause.
      • ii. Test the solution in a controlled environment, if possible.
      • iii. Implement the solution to resolve the logging failure.
      • iv. Monitor systems to ensure that the audit logging is functioning correctly.

      f. Recovery:

      • i. Reinstate systems or applications to their full operational state.
      • ii. Ensure all systems are patched, and configurations are secured.
      • iii. Monitor for any signs of recurrence.

      g. Reporting and Documentation:

      • i. Document the incident in its entirety: detection, investigation, actions taken, root cause, resolution, and recovery.
      • ii. Share the report with necessary stakeholders, including management, for review.
      • iii. Store the report securely, ensuring it’s available for future reference or audits.

      h. Review and Lessons Learned:

      • i. Convene a post-incident review meeting with all involved parties.
      • ii. Discuss what went well, what challenges were faced, and what could be improved.
      • iii. Update incident response procedures based on the lessons learned.

      5. Roles & Responsibilities:

      • IT Security Team: Lead the incident response, from detection to resolution.
      • IT Department: Support in the investigation, troubleshooting, and recovery.
      • Management: Provide oversight and ensure all necessary resources are available.

      6. Review & Updates: This procedure will be reviewed annually or after a major incident to ensure its effectiveness and relevance.

      7. Approval:

      • Author: [Name], [Title], [Date]
      • Reviewer: [Name], [Title], [Date]
      • Approval Authority: [Name], [Title], [Date]
      RELEVANT INFORMATION:

      Audit logging process failures include software and hardware errors, failures in the audit record capturing mechanisms, and audit record storage capacity being reached or exceeded. This requirement applies to each audit record data storage repository (i.e., distinct system component where audit records are stored), the total audit record storage capacity of organizations (i.e., all audit record data storage repositories combined), or both.



      Resources to consider:

      Security Policy Document:

      This comprehensive document outlines the organization’s security policies and procedures, including information system access controls and the specific measures implemented, such as password protection, multi-factor authentication, and device access controls. It should also cover consequences of unauthorized access and the importance of user training and awareness.

      Asset Inventory and Access Control Sheet:

      Create a spreadsheet that lists all information system resources in your organization, such as laptops, desktops, servers, network devices, printers, scanners, mobile devices, and paper documents. Alongside each resource, include information about authorized users, access rights, and any access restrictions.

      User Account Management Log:

      Maintain a log to track user account creation, modification, and removal. Include details like the date of account creation, purpose, and the individual responsible for approving the account.

      Password and Multi-Factor Authentication Policy:

      Combine the password policy and multi-factor authentication policy into a single document. Outline the organization’s password requirements, including complexity, length, expiration, and regular password change, as well as the implementation of multi-factor authentication for an extra layer of security.

      Process and Script Accountability Log:

      Maintain a log that associates automated scripts and processes with the specific authorized user who initiated them. This ensures accountability and prevents the use of generic accounts for critical processes.

      Device Access Control and VPN Policy:

      Merge the device access control and VPN configuration documents into a single policy. Detail the measures for controlling device access, authentication mechanisms, and VPN configuration, including which devices are allowed to connect and the authentication methods used.

      Access Control Review and Monitoring Schedule:

      Create a schedule for periodic reviews of access controls, including the process for adding, modifying, or revoking access rights based on personnel changes or business needs. Also, document the monitoring mechanisms implemented to track access to the information system, including logs and reports of access attempts and unusual activities.

      User Training and Awareness Materials:

      Prepare training materials and conduct regular sessions for authorized users. Document the topics covered, the date of the training, and the attendees.