NIST SP 800-171 Rev. 3·Requirement 3.3.5·high·Component: Audit and Accountability

What this control requires

This control requires regular review and analysis of system audit records to identify potential inappropriate or unusual activity. Findings must be reported to appropriate organizational personnel, and audit records across different repositories should be correlated to gain a comprehensive understanding of security events. This process helps improve situational awareness and supports effective incident detection and response. This control supports the Audit Record Review and Analysis capability within the Audit and Accountability (3.3) family.
— NIST SP 800-171 Rev. 3, Requirement 3.3.5

In plain English

This control requires regular review and analysis of system audit records to identify potential inappropriate or unusual activity. In practice, this means you can prove you audit record management-level controls on a defined cadence.

Why it matters

DoD contractors and their subcontractors must implement all 100 SP 800-171 requirements to keep CUI handling contracts. Gaps are scored against the SPRS scoring methodology; below a 110-point starting score, each unmet requirement deducts points and a below-threshold score can disqualify a bid.

This control is rated high. Auditors expect a named owner, a remediation SLA, and a tooling artefact that evidences continuous operation.

What an auditor looks for

A C3PAO conducting a CMMC Level 2 assessment uses NIST SP 800-171A objectives. They expect a System Security Plan (SSP), Plan of Action & Milestones (POA&M) for any gaps, and objective evidence (configurations, ticket records, training records) for every requirement.

Within Audit and Accountability, the assessor will trace your implementation back to the catalogue reference (Requirement 3.3.5) and look for objective evidence on the latest two assessment cycles.

How to implement

Incident Response

Runbook. Maintain a runbook keyed by incident type with named roles (IC, comms, scribe), an out-of-band comms channel, and a 72-hour timeline for external notification.

Tabletop. Run a quarterly tabletop exercise (ransomware, insider, supply-chain) and feed gaps back into the runbook.

Logging Monitoring

AWS. Org-trail CloudTrail to a central log archive account, GuardDuty in every region, and Security Hub for cross-source correlation.

Azure. Pipe every diagnostic setting into a central Log Analytics workspace; onboard Microsoft Sentinel for SIEM/SOAR.

GCP. Aggregate audit logs in a dedicated logging project with sink to BigQuery; enable Security Command Center Premium and route findings to Chronicle SIEM.

Policy Management

Docs. Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA.

Operational checklist

  • Audit Record. Document the trigger, the owner and the cadence.
  • Response. Document the trigger, the owner and the cadence.
  • System. Document the trigger, the owner and the cadence.
  • Incident. Document the trigger, the owner and the cadence.
  • Personnel. Document the trigger, the owner and the cadence.
  • Scope: management, detection, analysis, security, personnel, response.

Evidence to collect

  • Policy Document. A signed and version-controlled policy / standard / procedure document.

Signed policy or standard documents the safeguard. Focus: Audit Record Review, Analysis, and Reporting.

Common pitfalls

  • Runbooks that name a role but no person, or list a paging channel that no longer exists.
  • Per-account logging that nobody stitches together at the org level — incidents that cross accounts go undetected for days.
  • Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced.

How it maps to other frameworks

Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit.

Related controls in NIST SP 800-171 Rev. 3

References

Topics: governance riskawareness trainingincident responselogging monitoringpolicy management