NIST SP 800-53 Rev. 5 AU-6 — Audit Record Review, Analysis, And Reporting

What this control requires

Reviews and analyzes audit records periodically for inappropriate activity, reports findings, and adjusts review scope based on risk or credible information. This control supports the Audit Analysis System capability within the Audit and Accountability family.

In plain English

Reviews and analyzes audit records periodically for inappropriate activity, reports findings, and adjusts review scope based on risk or credible information. In practice, this means you can prove you audit information-level controls on a defined cadence.

Why it matters

SP 800-53 is the catalogue every U.S. federal authorisation (FedRAMP, FISMA, CMMC) and most regulated industries point at. A missing control surfaces as a Plan of Action & Milestones (POA&M) item that an Authorizing Official must approve before the Authority To Operate is granted or renewed.

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 3PAO (FedRAMP) or Independent Assessor (NIST RMF) tests against NIST SP 800-53A assessment procedures. For each control they expect a documented implementation that addresses every assessment objective (Examine, Interview, Test) and an implementation summary in the System Security Plan.

Within Audit and Accountability, the assessor will trace your implementation back to the catalogue reference (Control AU-6) and look for objective evidence on the latest two assessment cycles.

How to implement

Secure Development

Pipeline. Require code review, SAST (Semgrep / Snyk Code), SCA (Dependabot / Renovate), secret-scanning and IaC scanning in the merge pipeline.

Branch protection. Protected branches enforce reviews, signed commits and passing CI before merge; document the protection rules as the control evidence.

Code Review Testing

Pipeline. Require at least one human reviewer plus passing CI (lint, type, unit, security scan) before merge — protected branches enforce this.

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.

Operational checklist

• Audit. Document the trigger, the owner and the cadence.
• Information. Document the trigger, the owner and the cadence.
• Security. Document the trigger, the owner and the cadence.
• Review. Document the trigger, the owner and the cadence.
• Audit Record. Document the trigger, the owner and the cadence.
• Scope: information, reviews, system, application, records, audit records, analysis, review.

Evidence to collect

• Code Repo Scan. Source-control evidence — branch protection, required reviewers, CI status, SCA / SAST reports.

Source control pipelines (GitHub, GitLab) enforce SDLC guardrails. Focus: Audit Record Review, Analysis, And Reporting.

Common pitfalls

• CI security checks set to warn-only; the merge button is faster than the security feedback.
• Per-account logging that nobody stitches together at the org level — incidents that cross accounts go undetected for days.

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.

• NIST SP 800-171 Rev. 3 3.14.2 — Malicious Code Protection

Related controls in NIST SP 800-53 Rev. 5

• Control AU-9(2) — Store On Separate Physical Systems Or Components
• Control AU-7 — Audit Record Reduction And Report Generation
• Control MA-3 — Maintenance Tools
• Control AU-6(3) — Correlate Audit Record Repositories
• Control SI-4(16) — Correlate Monitoring Information
• Control PM-6 — Measures Of Performance

References

• NIST Computer Security Resource Center — NIST SP 800-53 Rev. 5
• Catalogue identifier: Control AU-6

Topics: governance riskapplication securitysecure developmentcode review testingdevsecopslogging monitoring